Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040 | 10% owner | December 13, 2021 | December 15, 2021 |
| Disc Medicine, Inc.GMTX · Entity 2273 | 10% owner | February 05, 2021 | February 16, 2021 |
| SHOULDER INNOVATIONS, INC.SI · Entity 5607 | Director | August 01, 2025 | August 05, 2025 |
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 December 13, 2021 · Filed December 15, 2021
Jointly reported with LSV Associates, LLC, Lightstone Ventures, L.P., Lightstone Ventures (A), L.P., LSV Associates II, LLC, Lightstone Ventures II, L.P., Lightstone Ventures II (A), L.P., George Jean, Plain Henry A JR
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Lightstone Ventures, L.P. | 2,097,326 |
Last balance in matching sequence
After 2021-12-13 transaction · row 11
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2021-12-13 · Sale · Disposed 11,945 · Balance 2,127,969 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $26.00 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 range set forth in this footnote. F2: Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 3 · 2021-12-13 · Sale · Disposed 17,169 · Balance 2,110,800 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.01 to $26.99 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 range set forth in this footnote. F2: Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 5 · 2021-12-13 · Sale · Disposed 9,509 · Balance 2,101,291 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.95 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 range set forth in this footnote. F2: Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 7 · 2021-12-13 · Sale · Disposed 2,196 · Balance 2,099,095 F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.01 to $28.97 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 range set forth in this footnote. F2: Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 9 · 2021-12-13 · Sale · Disposed 1,329 · Balance 2,097,766 F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.95 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 range set forth in this footnote. F2: Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 11 · 2021-12-13 · Sale · Disposed 440 · Balance 2,097,326 F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.11 to $30.29 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 range set forth in this footnote. F2: Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Lightstone Ventures (A), L.P. | 285,956 |
Last balance in matching sequence
After 2021-12-13 transaction · row 12
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 2 · 2021-12-13 · Sale · Disposed 1,627 · Balance 290,131 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $26.00 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 range set forth in this footnote. F3: Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 4 · 2021-12-13 · Sale · Disposed 2,339 · Balance 287,792 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.01 to $26.99 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 range set forth in this footnote. F3: Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 6 · 2021-12-13 · Sale · Disposed 1,296 · Balance 286,496 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.95 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 range set forth in this footnote. F3: Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 8 · 2021-12-13 · Sale · Disposed 299 · Balance 286,197 F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.01 to $28.97 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 range set forth in this footnote. F3: Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 10 · 2021-12-13 · Sale · Disposed 181 · Balance 286,016 F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.95 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 range set forth in this footnote. F3: Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Row 12 · 2021-12-13 · Sale · Disposed 60 · Balance 285,956 F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.11 to $30.29 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 range set forth in this footnote. F3: Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Lightstone Ventures II, L.P. | 2,023,469 |
Reported balance
Holding disclosure · report date 2021-12-13 · row 13
Holding and transaction disclosures are not merged.
1 source rowRow 13 · Balance 2,023,469 F9: Shares are held directly by Lightstone Ventures II, L.P. ("LV II LP"). LSV Associates II, LLC (LSV Associates II), is the general partner of LV II LP and may be deemed to beneficially own the shares held by LV II LP. Michael A. Carusi, Jean M. George, Jason W. Lettmann and Henry A. Plain, Jr. are the managing directors of LSV Associates II and may be deemed to share voting and investment power over the shares held by LV II LP. Each of LSV Associates II and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectBy Lightstone Ventures II (A), L.P. | 120,212 |
Reported balance
Holding disclosure · report date 2021-12-13 · row 14
Holding and transaction disclosures are not merged.
1 source rowRow 14 · Balance 120,212 F10: Shares are held directly by Lightstone Ventures II (A), L.P. ("LV II(A) LP"). LSV Associates II, is the general partner of LV II(A) LP and may be deemed to beneficially own the shares held by LV II(A) LP. Michael A. Carusi, Jean M. George, Jason W. Lettmann and Henry A. Plain, Jr. are the managing directors of LSV Associates II and may be deemed to share voting and investment power over the shares held by LV II(A) LP. Each of LSV Associates II and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $26.00 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 range set forth in this footnote.
F2: Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein.
F3: Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.01 to $26.99 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 range set forth in this footnote.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.95 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 range set forth in this footnote.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.01 to $28.97 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 range set forth in this footnote.
F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.95 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 range set forth in this footnote.
F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.11 to $30.29 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 range set forth in this footnote.
F9: Shares are held directly by Lightstone Ventures II, L.P. ("LV II LP"). LSV Associates II, LLC (LSV Associates II), is the general partner of LV II LP and may be deemed to beneficially own the shares held by LV II LP. Michael A. Carusi, Jean M. George, Jason W. Lettmann and Henry A. Plain, Jr. are the managing directors of LSV Associates II and may be deemed to share voting and investment power over the shares held by LV II LP. Each of LSV Associates II and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.
F10: Shares are held directly by Lightstone Ventures II (A), L.P. ("LV II(A) LP"). LSV Associates II, is the general partner of LV II(A) LP and may be deemed to beneficially own the shares held by LV II(A) LP. Michael A. Carusi, Jean M. George, Jason W. Lettmann and Henry A. Plain, Jr. are the managing directors of LSV Associates II and may be deemed to share voting and investment power over the shares held by LV II(A) LP. Each of LSV Associates II and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.
Disc Medicine, Inc.
Report date February 05, 2021 · Filed February 16, 2021
Jointly reported with LSV Associates, LLC, Lightstone Ventures, L.P., Lightstone Ventures (A), L.P., Lightstone Singapore, L.P., Lightstone Singapore Associates, LLC, Plain Henry A JR
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,796,868 |
Reported balance
Holding disclosure · report date 2021-02-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,796,868 F1: These shares are held by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC ("LSV Associates") is the general partner of LV LP. As the individual managing directors of LSV Associates, Michael A. Carusi, Jean M. George and Henry A. Plain Jr. share voting and dispositive power with respect to the shares held of record by LV LP. Each of LSV Associates, Mr. Carusi and Mr. Plain disclaim beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Ms. George, as a director of the Issuer, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 381,040 |
Reported balance
Holding disclosure · report date 2021-02-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 381,040 F2: These shares are held by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP. As the individual managing directors of LSV Associates, Michael A. Carusi, Jean M. George and Henry A. Plain Jr. share voting and dispositive power with respect to the shares held of record by LV(A) LP. Each of LSV Associates, Mr. Carusi and Mr. Plain disclaim beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Ms. George, as a director of the Issuer, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,658,198 |
Reported balance
Holding disclosure · report date 2021-02-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,658,198 F3: These shares are held by Lightstone Singapore, L.P. ("LV Singapore"), Lightstone Singapore Associates, LLC ("Lightstone Singapore Associates") is the general partner of LV Singapore. As the individual managing directors of Lightstone Singapore Associates, Michael A. Carusi, Jean M. George and Henry A. Plain Jr. share voting and dispositive power with respect to the shares held of record by LV Singapore. Each of Lightstone Singapore Associates, Mr. Carusi and Mr. Plain disclaim beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Ms. George, as a director of the Issuer, files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC ("LSV Associates") is the general partner of LV LP. As the individual managing directors of LSV Associates, Michael A. Carusi, Jean M. George and Henry A. Plain Jr. share voting and dispositive power with respect to the shares held of record by LV LP. Each of LSV Associates, Mr. Carusi and Mr. Plain disclaim beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Ms. George, as a director of the Issuer, files separate Section 16 reports.
F2: These shares are held by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP. As the individual managing directors of LSV Associates, Michael A. Carusi, Jean M. George and Henry A. Plain Jr. share voting and dispositive power with respect to the shares held of record by LV(A) LP. Each of LSV Associates, Mr. Carusi and Mr. Plain disclaim beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Ms. George, as a director of the Issuer, files separate Section 16 reports.
F3: These shares are held by Lightstone Singapore, L.P. ("LV Singapore"), Lightstone Singapore Associates, LLC ("Lightstone Singapore Associates") is the general partner of LV Singapore. As the individual managing directors of Lightstone Singapore Associates, Michael A. Carusi, Jean M. George and Henry A. Plain Jr. share voting and dispositive power with respect to the shares held of record by LV Singapore. Each of Lightstone Singapore Associates, Mr. Carusi and Mr. Plain disclaim beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Ms. George, as a director of the Issuer, files separate Section 16 reports.
SHOULDER INNOVATIONS, INC.
Report date August 01, 2025 · Filed August 05, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,885,136 |
Last balance in matching sequence
After 2025-08-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2025-08-01 · Conversion · Acquired 1,618,470 · Balance 1,618,470 F1: Immediately prior to the closing of the Issuer's initial public offering, the shares of preferred stock of the Issuer automatically converted into shares of Common Stock on a one-for-0.052410901 basis. F2: LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. ("LSV II") and Lightstone Ventures II (A), L.P. ("LSV II (A)") and has sole voting and dispositive power with respect to the shares held by LSV II and LSV II (A). The reporting person is a managing director of LSV Associates II, LLC, and shares voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). The reporting person disclaims beneficial ownership of such holdings, except to the extent of his pecuniary interest in the shares. F3: Following the transactions reported in this Form 4, (i) 1,781,479 shares of Common Stock are held by LSV II and (ii) 103,657 shares of Common Stock are held by LSV II (A). Row 2 · 2025-08-01 · Purchase · Acquired 266,666 · Balance 1,885,136 F2: LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. ("LSV II") and Lightstone Ventures II (A), L.P. ("LSV II (A)") and has sole voting and dispositive power with respect to the shares held by LSV II and LSV II (A). The reporting person is a managing director of LSV Associates II, LLC, and shares voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). The reporting person disclaims beneficial ownership of such holdings, except to the extent of his pecuniary interest in the shares. F3: Following the transactions reported in this Form 4, (i) 1,781,479 shares of Common Stock are held by LSV II and (ii) 103,657 shares of Common Stock are held by LSV II (A). |
| Common StockSEC Table I · non-derivative | Direct | 7,666 |
Reported balance
After 2025-08-01 transaction · row 3
1 source rowRow 3 · 2025-08-01 · Grant · Acquired 7,666 · Balance 7,666 F4: Represents an award of restricted stock units ("RSUs"). The RSUs will vest on the earlier of the date of the annual meeting of stockholders to be held in 2026 or August 1, 2026. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2025-08-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-08-01 · Conversion · Disposed 20,930,233 · Balance 0 F1: Immediately prior to the closing of the Issuer's initial public offering, the shares of preferred stock of the Issuer automatically converted into shares of Common Stock on a one-for-0.052410901 basis. F2: LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. ("LSV II") and Lightstone Ventures II (A), L.P. ("LSV II (A)") and has sole voting and dispositive power with respect to the shares held by LSV II and LSV II (A). The reporting person is a managing director of LSV Associates II, LLC, and shares voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). The reporting person disclaims beneficial ownership of such holdings, except to the extent of his pecuniary interest in the shares. F5: Consists of (i) 1,036,638 shares of Common Stock underlying Series C Preferred Stock and 492,833 shares of Common Stock underlying Series D Preferred Stock held by LSV II; and (ii) 60,333 shares of Common Stock underlying Series C Preferred Stock and 28,666 shares of Common Stock underlying Series D Preferred Stock held by LSV II (A). |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2025-08-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-08-01 · Conversion · Disposed 9,950,208 · Balance 0 F1: Immediately prior to the closing of the Issuer's initial public offering, the shares of preferred stock of the Issuer automatically converted into shares of Common Stock on a one-for-0.052410901 basis. F2: LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. ("LSV II") and Lightstone Ventures II (A), L.P. ("LSV II (A)") and has sole voting and dispositive power with respect to the shares held by LSV II and LSV II (A). The reporting person is a managing director of LSV Associates II, LLC, and shares voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). The reporting person disclaims beneficial ownership of such holdings, except to the extent of his pecuniary interest in the shares. F5: Consists of (i) 1,036,638 shares of Common Stock underlying Series C Preferred Stock and 492,833 shares of Common Stock underlying Series D Preferred Stock held by LSV II; and (ii) 60,333 shares of Common Stock underlying Series C Preferred Stock and 28,666 shares of Common Stock underlying Series D Preferred Stock held by LSV II (A). |
Filing footnotes · ownership attribution and instrument terms
F1: Immediately prior to the closing of the Issuer's initial public offering, the shares of preferred stock of the Issuer automatically converted into shares of Common Stock on a one-for-0.052410901 basis.
F2: LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. ("LSV II") and Lightstone Ventures II (A), L.P. ("LSV II (A)") and has sole voting and dispositive power with respect to the shares held by LSV II and LSV II (A). The reporting person is a managing director of LSV Associates II, LLC, and shares voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). The reporting person disclaims beneficial ownership of such holdings, except to the extent of his pecuniary interest in the shares.
F3: Following the transactions reported in this Form 4, (i) 1,781,479 shares of Common Stock are held by LSV II and (ii) 103,657 shares of Common Stock are held by LSV II (A).
F4: Represents an award of restricted stock units ("RSUs"). The RSUs will vest on the earlier of the date of the annual meeting of stockholders to be held in 2026 or August 1, 2026. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date.
F5: Consists of (i) 1,036,638 shares of Common Stock underlying Series C Preferred Stock and 492,833 shares of Common Stock underlying Series D Preferred Stock held by LSV II; and (ii) 60,333 shares of Common Stock underlying Series C Preferred Stock and 28,666 shares of Common Stock underlying Series D Preferred Stock held by LSV II (A).
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 |
|---|---|---|---|---|---|---|
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 1,831,027 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 1 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Carusi Michael A · CIK 0001306506 · 10% owner George Jean · CIK 0001291804 · 10% owner Plain Henry A JR · CIK 0001384286 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,268,087 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 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date F4 · balance_after: Includes 437,060 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F5 · ownership.nature: The shares are held of record by Lightstone Ventures, LP (LV LP). LSV Associates, LLC (LSV Associates), the General Partner of LV LP, and Michael A. Carusi, Jean M. George and Henry A. Plain, Jr., the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. 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.