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GARCIA PETER S

Disclosed activity across 3 companies

Tapewire entity
75468
SEC CIK
0001188956

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040CHIEF FINANCIAL OFFICERAugust 14, 2024August 16, 2024
PDL BIOPHARMA, INC.PDLI · Entity 143144Vice President, CFOMarch 28, 2019April 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect121,516 Reported balance After 2024-08-14 transaction · row 1
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.72 · Expires 2029-03-28Direct641,025 Reported balance After 2019-03-28 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2025-09-11 transaction · row 1
1 source row

Row 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 2031-12-13Direct0 Reported balance After 2025-09-11 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2032-06-15Direct0 Reported balance After 2025-09-11 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2033-06-21Direct0 Reported balance After 2025-09-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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September 11, 2025 Filed Sep 12, 2025 20:19 UTC DURECT CORP DRRX · Entity 75335 OtherCommon Stock 12,500 Not disclosed Not disclosed
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.