organization · Reporting owner
Lightstone Ventures II, L.P.
Disclosed activity across 2 companies
Sign in to followReported 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 |
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 (A), L.P., Carusi Michael A, 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SHOULDER INNOVATIONS, INC.
Report date August 01, 2025 · Filed August 05, 2025
Jointly reported with LSV Associates II, LLC, Lightstone Ventures II (A), L.P., Plain Henry A JR, George Jean
Section 16 reporting ended · disclosed 2025-08-05. Current position is not established by this disclosure.
| 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. 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). |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2025-08-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. F4: 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 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. F4: 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein.
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: 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 |
|---|---|---|---|---|---|---|
| August 01, 2025 Filed Aug 5, 2025 16:05 UTC | SHOULDER INNOVATIONS, INC. SI · Entity 5607 | ConversionSeries D Convertible Preferred Stock · Derivative | 9,950,208 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001641172-25-022247 · ownership.xml · derivative · entry 4 LSV Associates II, LLC · CIK 0001818388 · Former 10% Owner Lightstone Ventures II, L.P. · CIK 0001699565 · Former 10% Owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · Former 10% Owner Plain Henry A JR · CIK 0001384286 · Former 10% Owner George Jean · CIK 0001291804 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 521,499 shares Expires not disclosed 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_price: 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. F1 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. F4 · ownership.nature: 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). Read SEC document |
| August 01, 2025 Filed Aug 5, 2025 16:05 UTC | SHOULDER INNOVATIONS, INC. SI · Entity 5607 | ConversionSeries C Convertible Preferred Stock · Derivative | 20,930,233 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001641172-25-022247 · ownership.xml · derivative · entry 3 LSV Associates II, LLC · CIK 0001818388 · Former 10% Owner Lightstone Ventures II, L.P. · CIK 0001699565 · Former 10% Owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · Former 10% Owner Plain Henry A JR · CIK 0001384286 · Former 10% Owner George Jean · CIK 0001291804 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,096,971 shares Expires not disclosed 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_price: 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. F1 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. F4 · ownership.nature: 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). Read SEC document |
| August 01, 2025 Filed Aug 5, 2025 16:05 UTC | SHOULDER INNOVATIONS, INC. SI · Entity 5607 | PurchaseCommon Stock | 266,666 | $15.00 | $3,999,990.00 |
DisclosureSEC source: 0001641172-25-022247 · ownership.xml · nonDerivative · entry 2 LSV Associates II, LLC · CIK 0001818388 · Former 10% Owner Lightstone Ventures II, L.P. · CIK 0001699565 · Former 10% Owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · Former 10% Owner Plain Henry A JR · CIK 0001384286 · Former 10% Owner George Jean · CIK 0001291804 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,885,136 F2 · ownership.nature: 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. F3 · ownership.nature: 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). Read SEC document |
| August 01, 2025 Filed Aug 5, 2025 16:05 UTC | SHOULDER INNOVATIONS, INC. SI · Entity 5607 | ConversionCommon Stock | 1,618,470 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001641172-25-022247 · ownership.xml · nonDerivative · entry 1 LSV Associates II, LLC · CIK 0001818388 · Former 10% Owner Lightstone Ventures II, L.P. · CIK 0001699565 · Former 10% Owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · Former 10% Owner Plain Henry A JR · CIK 0001384286 · Former 10% Owner George Jean · CIK 0001291804 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,618,470 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: 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 · ownership.nature: 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). Jean George, Michael A. Carusi and Henry A. Plain, Jr. are the managing directors of LSV Associates II, LLC, and share voting and dispositive power with respect to the shares held of record by LSV II and LSV II (A). Mr. Carusi is a director of the Issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his, her or its respective pecuniary interest therein. F3 · ownership.nature: 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). Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 60 | $30.23 | $1,813.80 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 12 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 285,956 F8 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 440 | $30.23 | $13,301.20 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 11 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,097,326 F8 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 181 | $29.60 | $5,357.60 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 10 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 286,016 F7 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,329 | $29.60 | $39,338.40 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 9 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,097,766 F7 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 299 | $28.37 | $8,482.63 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 8 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 286,197 F6 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 2,196 | $28.37 | $62,300.52 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 7 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,099,095 F6 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,296 | $27.49 | $35,627.04 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 6 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 286,496 F5 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 9,509 | $27.49 | $261,402.41 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 5 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,101,291 F5 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 2,339 | $26.48 | $61,936.72 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 4 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 287,792 F4 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 17,169 | $26.48 | $454,635.12 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 3 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,110,800 F4 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,627 | $25.29 | $41,146.83 |
DisclosureSEC source: 0001209191-21-069867 · doc4.xml · nonDerivative · entry 2 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 290,131 F1 · price: 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 · ownership.nature: 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. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:03 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 11,945 | $25.29 | $302,089.05 |
DisclosureSEC source: 0001209191-21-069867 · 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 LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,127,969 F1 · price: 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 · ownership.nature: 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. Read SEC document |
| December 10, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 12 | $32.16 | $385.92 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 16 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 291,758 F3 · ownership.nature: 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. Read SEC document |
| December 10, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 88 | $32.16 | $2,830.08 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 15 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,139,914 F2 · ownership.nature: 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. Read SEC document |
| December 10, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 2,172 | $31.55 | $68,526.60 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 14 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 291,770 F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.15 to $32.01 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 · ownership.nature: 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. Read SEC document |
| December 10, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 15,942 | $31.55 | $502,970.10 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 13 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,140,002 F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.15 to $32.01 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 · ownership.nature: 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. Read SEC document |
| December 10, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 967 | $30.77 | $29,754.59 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 12 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 293,942 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.12 to $31.09 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 · ownership.nature: 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. Read SEC document |
| December 10, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 7,093 | $30.77 | $218,251.61 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 11 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,155,944 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.12 to $31.09 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 · ownership.nature: 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. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,911 | $32.73 | $62,547.03 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 10 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 294,909 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.50 to $33.25 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 · ownership.nature: 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. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 14,028 | $32.73 | $459,136.44 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 9 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,163,037 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.50 to $33.25 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 · ownership.nature: 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. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 5,751 | $32.06 | $184,377.06 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 8 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 296,820 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.50 to $32.49 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 · ownership.nature: 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. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 42,203 | $32.06 | $1,353,028.18 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 7 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,177,065 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.50 to $32.49 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 · ownership.nature: 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. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,560 | $31.08 | $48,484.80 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 6 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 302,571 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.49 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 · ownership.nature: 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. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 11,452 | $31.08 | $355,928.16 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 5 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,219,268 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.49 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 · ownership.nature: 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. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 208 | $33.80 | $7,030.40 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 4 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 304,131 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.70 to $33.92 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 · ownership.nature: 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. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,531 | $33.80 | $51,747.80 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 3 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,230,720 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.70 to $33.92 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 · ownership.nature: 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. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 4,883 | $33.23 | $162,262.09 |
DisclosureSEC source: 0001209191-21-069135 · doc4.xml · nonDerivative · entry 2 LSV Associates, LLC · CIK 0001643828 · 10% owner Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures (A), L.P. Disclosed balance after: 304,339 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.70 to $33.69 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 · ownership.nature: 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. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 19:51 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 35,836 | $33.23 | $1,190,830.28 |
DisclosureSEC source: 0001209191-21-069135 · 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 LSV Associates II, LLC · CIK 0001818388 · 10% owner Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner Lightstone Ventures II (A), L.P. · CIK 0001706610 · 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 · By Lightstone Ventures, L.P. Disclosed balance after: 2,232,251 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.70 to $33.69 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 · ownership.nature: 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. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries C Convertible Preferred Stock · Derivative | 38,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 18 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: 0 Underlying: Common Stock · 38,660 shares Expires not disclosed 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. F3 · derivative.exercise_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 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 F3 · derivative.exercise_date: 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 F3 · derivative.expiration_date: 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 F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries C Convertible Preferred Stock · Derivative | 664,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 17 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: 0 Underlying: Common Stock · 664,660 shares Expires not disclosed 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. F3 · derivative.exercise_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 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 F3 · derivative.exercise_date: 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 F3 · derivative.expiration_date: 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 F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries C Convertible Preferred Stock · Derivative | 18,705 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 16 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: 0 Underlying: Common Stock · 18,705 shares Expires not disclosed 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. F3 · derivative.exercise_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 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 F3 · derivative.exercise_date: 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 F3 · derivative.expiration_date: 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 F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) 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 |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries C Convertible Preferred Stock · Derivative | 137,286 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 15 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: 0 Underlying: Common Stock · 137,286 shares Expires not disclosed 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. F3 · derivative.exercise_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 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 F3 · derivative.exercise_date: 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 F3 · derivative.expiration_date: 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 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 |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries B Convertible Preferred Stock · Derivative | 11,110 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 14 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: 0 Underlying: Common Stock · 11,110 shares Expires not disclosed 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_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. 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. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries B Convertible Preferred Stock · Derivative | 150,801 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 13 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: 0 Underlying: Common Stock · 150,801 shares Expires not disclosed 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_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. 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. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries B Convertible Preferred Stock · Derivative | 8,175 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 12 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: 0 Underlying: Common Stock · 8,175 shares Expires not disclosed 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_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. 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. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) 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 |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries B Convertible Preferred Stock · Derivative | 59,998 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 11 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: 0 Underlying: Common Stock · 59,998 shares Expires not disclosed 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_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. 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. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. 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 |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries A Convertible Preferred Stock · Derivative | 39,758 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 10 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: 0 Underlying: Common Stock · 39,758 shares Expires not disclosed 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_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. 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries A Convertible Preferred Stock · Derivative | 683,523 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 9 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: 0 Underlying: Common Stock · 683,523 shares Expires not disclosed 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_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. 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries A Convertible Preferred Stock · Derivative | 222,752 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 8 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: 0 Underlying: Common Stock · 222,752 shares Expires not disclosed 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_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. 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) 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 |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries A Convertible Preferred Stock · Derivative | 1,633,743 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 7 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: 0 Underlying: Common Stock · 1,633,743 shares Expires not disclosed 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_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. 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. 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 |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 111,528 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 6 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: 120,212 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 F11 · balance_after: Includes 8,684 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 22,000 | $19.00 | $418,000.00 |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 5 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: 22,000 F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 1,498,984 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 4 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: 2,023,469 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 F9 · balance_after: Includes 146,485 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 378,000 | $19.00 | $7,182,000.00 |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 3 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: 378,000 F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 16:18 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 249,632 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 2 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: 309,222 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 F6 · balance_after: Includes 59,590 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) 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 |
| 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.