0000899243-20-019409.txt : 20200716
0000899243-20-019409.hdr.sgml : 20200716
20200716184310
ACCESSION NUMBER: 0000899243-20-019409
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200716
FILED AS OF DATE: 20200716
DATE AS OF CHANGE: 20200716
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Capital IX, LLC
CENTRAL INDEX KEY: 0001750698
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201032382
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6506880818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Capital Fund IX, L.P.
CENTRAL INDEX KEY: 0001750117
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201032383
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: (650) 688-0818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ALX ONCOLOGY HOLDINGS INC
CENTRAL INDEX KEY: 0001810182
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 850642577
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 866 MALCOLM ROAD, SUITE 100
CITY: BURLINGAME
STATE: CA
ZIP: 94010
BUSINESS PHONE: 650-466-7125
MAIL ADDRESS:
STREET 1: 866 MALCOLM ROAD, SUITE 100
CITY: BURLINGAME
STATE: CA
ZIP: 94010
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2020-07-16
0
0001810182
ALX ONCOLOGY HOLDINGS INC
ALXO
0001750698
Vivo Capital IX, LLC
C/O VIVO CAPITAL LLC
192 LYTTON AVENUE
PALO ALTO
CA
94301
0
0
1
0
0001750117
Vivo Capital Fund IX, L.P.
C/O VIVO CAPITAL LLC
192 LYTTON AVENUE
PALO ALTO
CA
94301
0
0
1
0
Series C Convertible Preferred Stock
Common Stock
3158851
I
See footnote
Each share of Series C Convertible Preferred Stock shall automatically convert into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
The shares held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, the general partner of VIVO IX LP, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
/s/ Albert Cha, as a managing member of Vivo Capital IX, LLC
2020-07-16
/s/ Albert Cha, as a managing member of Vivo Capital IX, LLC, the general partner of Vivo Capital Fund IX, L.P.
2020-07-16