Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040 | CHIEF FINANCIAL OFFICER | August 14, 2024 | August 16, 2024 |
| PDL BIOPHARMA, INC.PDLI · Entity 143144 | Vice President, CFO | March 28, 2019 | April 16, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALX ONCOLOGY HOLDINGS INC
Report date August 14, 2024 · Filed August 16, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 121,516 |
Reported balance
After 2024-08-14 transaction · row 1
1 source rowRow 1 · 2024-08-14 · Tax withholding · Disposed 761 · Balance 121,516 F1: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs.
PDL BIOPHARMA, INC.
Report date March 28, 2019 · Filed April 16, 2019 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.72 · Expires 2029-03-28 | Direct | 641,025 |
Reported balance
After 2019-03-28 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2019-03-28 · Grant · Acquired 641,025 · Balance 641,025 F1: The number of shares included in the original April 1, 2019 Form 4 filing was incorrect and the Company is filing this amendment to correct the number of shares in the award grant. F2: The stock options will vest as follows: (a) 25% of the shares subject to the option shall vest on the one year anniversary of January 1, 2019 and (b) 75% of the shares subject to the option shall vest on a monthly basis pro rata over the thirty-six (36) months following the one year anniversary of January 1, 2019, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employment provided in the severance agreement between the issuer and the recipient. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of shares included in the original April 1, 2019 Form 4 filing was incorrect and the Company is filing this amendment to correct the number of shares in the award grant.
F2: The stock options will vest as follows: (a) 25% of the shares subject to the option shall vest on the one year anniversary of January 1, 2019 and (b) 75% of the shares subject to the option shall vest on a monthly basis pro rata over the thirty-six (36) months following the one year anniversary of January 1, 2019, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employment provided in the severance agreement between the issuer and the recipient.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
DURECT CORP
Report date September 11, 2025 · Filed September 12, 2025
Section 16 reporting ended · disclosed 2025-09-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 1
1 source rowRow 1 · 2025-09-11 · Other · Disposed 12,500 · Balance 0 F1: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. F2: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.80 · Expires 2031-12-13 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-09-11 · Disposition to issuer · Disposed 7,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.46 · Expires 2032-06-15 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.29 · Expires 2033-06-21 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock.
F2: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent.
F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.
F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 11, 2025 Filed Sep 12, 2025 20:19 UTC | DURECT CORP DRRX · Entity 75335 | Disposition to issuerStock Option (right to buy) · Derivative | 5,500 | Not disclosed Strike: $5.29 | Not disclosed |
DisclosureSEC source: 0000950170-25-114650 · ownership.xml · derivative · entry 4 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,500 shares Expires 2033-06-21 F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. Read SEC document |
| September 11, 2025 Filed Sep 12, 2025 20:19 UTC | DURECT CORP DRRX · Entity 75335 | Disposition to issuerStock Option (right to buy) · Derivative | 5,500 | Not disclosed Strike: $5.46 | Not disclosed |
DisclosureSEC source: 0000950170-25-114650 · ownership.xml · derivative · entry 3 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,500 shares Expires 2032-06-15 F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. Read SEC document |
| September 11, 2025 Filed Sep 12, 2025 20:19 UTC | DURECT CORP DRRX · Entity 75335 | Disposition to issuerStock Option (right to buy) · Derivative | 7,000 | Not disclosed Strike: $9.80 | Not disclosed |
DisclosureSEC source: 0000950170-25-114650 · ownership.xml · derivative · entry 2 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2031-12-13 F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. Read SEC document |
| September 11, 2025 Filed Sep 12, 2025 20:19 UTC | DURECT CORP DRRX · Entity 75335 | OtherCommon Stock | 12,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-114650 · ownership.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. F2 · kind: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent. F1 · shares: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. F2 · shares: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent. F1 · price: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. F2 · price: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent. Read SEC document |
| September 09, 2025 Filed Sep 11, 2025 17:48 UTC | DURECT CORP DRRX · Entity 75335 | Exercise / conversionStock Option (right to buy) · Derivative | 5,500 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0000950170-25-114308 · ownership.xml · derivative · entry 2 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,500 shares Expires 2034-09-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 100% of the total number of shares subject to this option grant shall vest and become exercisable on the day before the first anniversary of the date of grant, subject to the Reporting Person continuing to provide services to the Company through the vesting date. Read SEC document |
| September 09, 2025 Filed Sep 11, 2025 17:48 UTC | DURECT CORP DRRX · Entity 75335 | Exercise / conversionCommon Stock | 5,500 | $1.22 | $6,710.00 |
DisclosureSEC source: 0000950170-25-114308 · ownership.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 25, 2024 Filed Sep 27, 2024 16:17 UTC | DURECT CORP DRRX · Entity 75335 | GrantStock Option (right to buy) · Derivative | 5,500 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0000950170-24-110019 · ownership.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,500 Underlying: Common Stock · 5,500 shares Expires 2034-09-25 F1 · derivative.exercise_date: 100% of the total number of shares subject to this option grant shall vest and become exercisable on the day before the first anniversary of the date of grant, subject to the Reporting Person continuing to provide services to the Company through the vesting date. Read SEC document |
| August 14, 2024 Filed Aug 16, 2024 21:08 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Tax withholdingCommon Stock | 761 | $2.58 | $1,963.38 |
DisclosureSEC source: 0001415889-24-021476 · form4-08162024_090807.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,516 F1 · kind: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs. Read SEC document |
| June 28, 2024 Filed Jul 2, 2024 20:39 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Tax withholdingCommon Stock | 1,789 | $6.03 | $10,787.67 |
DisclosureSEC source: 0001415889-24-018919 · form4-07022024_080741.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,277 F1 · kind: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs. F2 · balance_after: Includes 1,718 shares acquired under the Issuer's employee stock purchase plan on June 28, 2024. Read SEC document |
| June 13, 2024 Filed Jun 17, 2024 11:29 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 12,000 | $8.53 | $102,338.40 |
DisclosureSEC source: 0001415889-24-017054 · form4-06172024_110650.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,348 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.4113 to $8.68, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. Read SEC document |
| June 13, 2024 Filed Jun 24, 2024 13:00 UTC Amendment | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 12,000 | $8.53 | $102,338.40 |
DisclosureSEC source: 0001415889-24-017899 · form4a-06242024_010651.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,348 F1 · kind: For purposes of the short-swing profit recovery provisions of Section 16(b) of the Securities Exchange Act of 1934, the acquisition of shares reported herein may be deemed to be matchable to the extent of 1,893 shares with the reporting person's sale of 1,893 shares of Issuer common stock to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units on December 29, 2023. The reporting person has agreed to pay to the Issuer $11,959.88, which represents the full amount of the profit realized in connection with the short-swing transaction, less transaction costs. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.4113 to $8.68, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 23:21 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantEmployee Stock Option (right to buy) · Derivative | 80,000 | $0.00 Strike: $15.84 | $0.00 |
DisclosureSEC source: 0001415889-24-004231 · form4-02162024_110247.xml · derivative · entry 2 GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2034-02-13 F2 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2024. Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 23:21 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-004231 · form4-02162024_110247.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 110,348 F1 · shares: The reported shares are represented by restricted stock units, or RSUs, which vest in eight equal semiannual installments beginning on August 14, 2024. Read SEC document |
| December 29, 2023 Filed Jan 3, 2024 21:20 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,893 | $15.04 | $28,470.72 |
DisclosureSEC source: 0001209191-24-000366 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,348 F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units. F2 · balance_after: Includes 503 shares acquired under the Issuer's employee stock purchase plan on December 29, 2023. Read SEC document |
| July 25, 2023 Filed Jul 27, 2023 20:15 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantEmployee Stock Option (right to buy) · Derivative | 101,000 | $0.00 Strike: $5.86 | $0.00 |
DisclosureSEC source: 0001209191-23-043519 · doc4.xml · derivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,000 Underlying: Common Stock · 101,000 shares Expires 2033-07-24 F2 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 3, 2023. Read SEC document |
| July 25, 2023 Filed Jul 27, 2023 20:15 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantCommon Stock | 32,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-043519 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 86,738 F1 · shares: The reported shares are represented by restricted stock units, or RSUs, which vest in eight equal semiannual installments beginning on December 28, 2023. Read SEC document |
| June 30, 2023 Filed Jul 5, 2023 21:00 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 887 | $7.34 | $6,510.58 |
DisclosureSEC source: 0001209191-23-041175 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,738 F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units. F2 · balance_after: Includes 1,902 shares acquired under the Issuer's employee stock purchase plan on June 30, 2023. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 17:31 UTC | DURECT CORP DRRX · Entity 75335 | GrantStock Option (right to buy) · Derivative | 5,500 | $0.00 Strike: $5.29 | $0.00 |
DisclosureSEC source: 0001209191-23-039472 · doc4.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,500 Underlying: Common Stock · 5,500 shares Expires 2033-06-21 F1 · derivative.exercise_date: 100% of the total shares subject to this grant dated June 21, 2023 shall vest on the day before the first year anniversary of the grant date. Read SEC document |
| December 29, 2022 Filed Jan 4, 2023 01:34 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 893 | $11.07 | $9,885.60 |
DisclosureSEC source: 0001209191-23-000475 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,723 F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.07 to $11.11, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. F3 · balance_after: Reflects a reduction of 562 shares previously reported as acquired pursuant to the Issuer's employee stock purchase plan on June 30, 2022. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 21:57 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantEmployee Stock Option (right to buy) · Derivative | 95,000 | $0.00 Strike: $11.47 | $0.00 |
DisclosureSEC source: 0001209191-22-045056 · doc4.xml · derivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 95,000 shares Expires 2032-08-04 F3 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 1, 2022. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 21:57 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantCommon Stock | 29,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-045056 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,178 F1 · shares: The reported shares are represented by restricted stock units, or RSUs, which vest in eight equal semiannual installments beginning on December 28, 2022. F2 · balance_after: Includes 1,695 shares acquired under the Issuer's employee stock purchase plan on June 30, 2022. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 16:09 UTC | DURECT CORP DRRX · Entity 75335 | GrantStock Option (right to buy) · Derivative | 55,000 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001209191-22-037831 · doc4.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2032-06-15 F1 · derivative.exercise_date: 100% of the total shares subject to this grant dated June 15, 2022 shall vest on the day before the first year anniversary of the grant date. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 01:23 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 8,363 | $0.00 Strike: $4.81 | $0.00 |
DisclosureSEC source: 0001209191-22-007887 · doc4.xml · derivative · entry 5 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,813 Underlying: Common Stock · 8,363 shares Expires 2030-04-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: One-fourth of the shares subject to the option vest on April 27, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 01:23 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 6,637 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0001209191-22-007887 · doc4.xml · derivative · entry 3 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,022 Underlying: Common Stock · 6,637 shares Expires 2030-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on January 2, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 01:23 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 8,363 | $4.81 | $40,226.03 |
DisclosureSEC source: 0001209191-22-007887 · doc4.xml · nonDerivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 01:23 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 6,637 | $4.08 | $27,078.96 |
DisclosureSEC source: 0001209191-22-007887 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,120 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 152 shares acquired under the Issuer's employee stock purchase plan on December 31, 2021. Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 19:06 UTC | DURECT CORP DRRX · Entity 75335 | GrantStock Option (right to buy) · Derivative | 70,000 | $0.00 Strike: $0.98 | $0.00 |
DisclosureSEC source: 0001209191-21-069614 · doc4.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2031-12-13 F1 · derivative.exercise_date: The option will vest and become exercisable in installments of one-third of the total number of shares on each anniversary of the grant date. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 7,229 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · derivative · entry 8 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,468 Underlying: Common Stock · 7,229 shares Expires 2030-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vest on March 9, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 189 | $59.06 | $11,163.21 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · nonDerivative · entry 7 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,331 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.96 to $59.23, inclusive. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 438 | $58.30 | $25,536.63 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · nonDerivative · entry 6 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,520 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.86 to $58.85, inclusive. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 411 | $57.54 | $23,647.62 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · nonDerivative · entry 5 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,958 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.86 to $57.845, inclusive. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,437 | $56.09 | $80,603.34 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · nonDerivative · entry 4 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,369 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.73 to $56.62, inclusive. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,903 | $55.15 | $104,958.06 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · nonDerivative · entry 3 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,806 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.73 to $55.70, inclusive. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 2,851 | $54.33 | $154,884.28 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · nonDerivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,709 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.73 to $54.72, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (7) to this Form 4. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 20:28 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 7,229 | $4.08 | $29,494.32 |
DisclosureSEC source: 0001209191-21-060910 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,560 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 17, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 11,345 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · derivative · entry 10 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,697 Underlying: Common Stock · 11,345 shares Expires 2030-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vest on March 9, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| September 17, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,100 | $81.19 | $89,309.00 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 8 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,331 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. Read SEC document |
| September 17, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 273 | $80.22 | $21,901.15 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 7 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,431 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.05 to $80.51, inclusive. Read SEC document |
| September 17, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,746 | $79.46 | $138,734.37 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 6 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,704 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.05 to $80.02, inclusive. Read SEC document |
| September 17, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 7,199 | $78.61 | $565,922.03 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 5 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,450 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.05 to $79.045, inclusive. Read SEC document |
| September 17, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,027 | $77.84 | $79,944.45 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 4 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,649 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.05 to $78.045, inclusive. Read SEC document |
| September 17, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 11,345 | $4.08 | $46,287.60 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 3 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,676 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 16, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,426 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · derivative · entry 9 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,042 Underlying: Common Stock · 1,426 shares Expires 2030-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vest on March 9, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| September 16, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,426 | $80.43 | $114,694.89 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,331 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.88, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (6) to this Form 4. Read SEC document |
| September 16, 2021 Filed Sep 18, 2021 00:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 1,426 | $4.08 | $5,818.08 |
DisclosureSEC source: 0001209191-21-056787 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,757 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 19,370 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · derivative · entry 11 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,468 Underlying: Common Stock · 19,370 shares Expires 2030-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vest on March 9, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 40,630 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · derivative · entry 10 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,659 Underlying: Common Stock · 40,630 shares Expires 2030-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on January 2, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 35 | $77.56 | $2,714.63 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 9 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,331 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.46 to $77.79, inclusive. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 2,616 | $76.66 | $200,549.88 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 8 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,366 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.31 to $77.27, inclusive. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 10,743 | $75.71 | $813,317.08 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 7 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,982 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.31 to $76.295, inclusive. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.