Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACCELERON PHARMA INCXLRN · Entity 15780 | Director | January 22, 2020 | January 24, 2020 |
| ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040 | 10% owner | December 13, 2021 | December 15, 2021 |
| Astria Therapeutics, Inc.CATB · Entity 68888 | Director | June 07, 2018 | June 07, 2018 |
| Calithera Biosciences, Inc.CALA · Entity 113073 | Director | June 11, 2021 | June 14, 2021 |
| Cyteir Therapeutics, Inc.CYT · Entity 92707 | Director | February 14, 2024 | February 16, 2024 |
| Disc Medicine, Inc.GMTX · Entity 2273 | Director · 10% owner | February 05, 2021 | February 16, 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.
ACCELERON PHARMA INC
Report date January 22, 2020 · Filed January 24, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,127 |
Reported balance
After 2020-01-22 transaction · row 1
1 source rowRow 1 · 2020-01-22 · Grant · Acquired 1,377 · Balance 5,127 |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $52.99 · Expires 2030-01-22 | Direct | 8,185 |
Reported balance
After 2020-01-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-01-22 · Grant · Acquired 8,185 · Balance 8,185 F1: The shares of common stock underlying this stock option award vest in full on the one year anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of common stock underlying this stock option award vest in full on the one year anniversary of the grant date.
ALX ONCOLOGY HOLDINGS INC
Report date December 13, 2021 · Filed December 15, 2021
Jointly reported with LSV Associates, LLC, Lightstone Ventures, L.P., Lightstone Ventures (A), L.P., LSV Associates II, LLC, Lightstone Ventures II, L.P., Lightstone Ventures II (A), L.P., Carusi Michael A, 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.
Astria Therapeutics, Inc.
Report date June 07, 2018 · Filed June 07, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.48 · Expires 2028-06-06 | Direct | 14,000 |
Reported balance
After 2018-06-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-07 · Grant · Acquired 14,000 · Balance 14,000 F1: This option was granted on June 7, 2018 and is scheduled to vest on June 7, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: This option was granted on June 7, 2018 and is scheduled to vest on June 7, 2019.
Calithera Biosciences, Inc.
Report date June 11, 2021 · Filed June 14, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.28 · Expires 2031-06-10 | Direct | 20,000 |
Reported balance
After 2021-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-06-11 · Grant · Acquired 20,000 · Balance 20,000 F1: 1/12 of the Option vests in each monthly installment as measured from June 11, 2021, until the earlier of the Option's full vesting or the reporting person ceasing to provide continuous service to the issuer. In addition, in the event of a Change in Control or a Corporate Transaction (each as defined in the plan pursuant to which the Option was granted), any unvested portion of the Option will fully vest and become exercisable as of immediately prior to the effective time of such Change in Control or Corporate Transaction, subject to the reporting person's continuous service on the effective date of such transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: 1/12 of the Option vests in each monthly installment as measured from June 11, 2021, until the earlier of the Option's full vesting or the reporting person ceasing to provide continuous service to the issuer. In addition, in the event of a Change in Control or a Corporate Transaction (each as defined in the plan pursuant to which the Option was granted), any unvested portion of the Option will fully vest and become exercisable as of immediately prior to the effective time of such Change in Control or Corporate Transaction, subject to the reporting person's continuous service on the effective date of such transaction.
Cyteir Therapeutics, Inc.
Report date February 14, 2024 · Filed February 16, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,150 |
Reported balance
After 2024-02-14 transaction · row 1
1 source rowRow 1 · 2024-02-14 · Exercise / conversion · Acquired 14,150 · Balance 14,150 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.69 · Expires 2033-02-03 | Direct | 0 |
Reported balance
After 2024-02-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-02-14 · Exercise / conversion · Disposed 14,150 · Balance 0 |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,444,265 |
Reported balance
Holding disclosure · report date 2024-02-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,444,265 F1: Shares held by Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. The Reporting Person is a managing director of LSV Associates II, LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held by Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. The Reporting Person is a managing director of LSV Associates II, LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest therein.
Disc Medicine, Inc.
Report date February 05, 2021 · Filed February 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,796,868 |
Reported balance
Holding disclosure · report date 2021-02-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,796,868 F1: These shares are held by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC ("LSV Associates") is the general partner of LV LP. As an individual managing director of LSV Associates, the reporting person shares voting and dispositive power with respect to the shares held of record by LV LP. The reporting person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 381,040 |
Reported balance
Holding disclosure · report date 2021-02-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 381,040 F2: These shares are held by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP. As an individual managing director of LSV Associates, the reporting person shares voting and dispositive power with respect to the shares held of record by LV(A) LP. The reporting person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,658,198 |
Reported balance
Holding disclosure · report date 2021-02-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,658,198 F3: These shares are held by Lightstone Singapore, L.P. ("LV Singapore"), Lightstone Singapore Associates, LLC ("Lightstone Singapore Associates") is the general partner of LV Singapore. As an individual managing director of Lightstone Singapore Associates, the reporting person shares voting and dispositive power with respect to the shares held of record by LV Singapore. The reporting person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC ("LSV Associates") is the general partner of LV LP. As an individual managing director of LSV Associates, the reporting person shares voting and dispositive power with respect to the shares held of record by LV LP. The reporting person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
F2: These shares are held by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP. As an individual managing director of LSV Associates, the reporting person shares voting and dispositive power with respect to the shares held of record by LV(A) LP. The reporting person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
F3: These shares are held by Lightstone Singapore, L.P. ("LV Singapore"), Lightstone Singapore Associates, LLC ("Lightstone Singapore Associates") is the general partner of LV Singapore. As an individual managing director of Lightstone Singapore Associates, the reporting person shares voting and dispositive power with respect to the shares held of record by LV Singapore. The reporting person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
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, L.P., Lightstone Ventures II (A), L.P., Plain Henry A JR
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 |
| February 14, 2024 Filed Feb 16, 2024 16:00 UTC | Cyteir Therapeutics, Inc. CYT · Entity 92707 | Exercise / conversionStock Option (Right to Buy) · Derivative | 14,150 | $0.00 Strike: $1.69 | $0.00 |
DisclosureSEC source: 0001209191-24-003437 · doc4.xml · derivative · entry 3 George Jean · CIK 0001291804 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,150 shares Expires 2033-02-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 16:00 UTC | Cyteir Therapeutics, Inc. CYT · Entity 92707 | Exercise / conversionCommon Stock | 14,150 | $1.69 | $23,913.50 |
DisclosureSEC source: 0001209191-24-003437 · doc4.xml · nonDerivative · entry 1 George Jean · CIK 0001291804 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,150 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 03, 2023 Filed Feb 7, 2023 16:42 UTC | Cyteir Therapeutics, Inc. CYT · Entity 92707 | GrantStock Option (Right to Buy) · Derivative | 14,150 | $0.00 Strike: $1.69 | $0.00 |
DisclosureSEC source: 0001209191-23-007543 · doc4.xml · derivative · entry 1 George Jean · CIK 0001291804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,150 Underlying: Common Stock · 14,150 shares Expires 2033-02-03 F1 · derivative.exercise_date: The shares of common stock underlying this stock option award vest in full on February 3, 2024, subject to the Reporting Person's continued service to the board of directors of the Company through the applicable vesting date. Read SEC document |
| February 22, 2022 Filed Feb 24, 2022 16:59 UTC | Cyteir Therapeutics, Inc. CYT · Entity 92707 | GrantStock Option (Right to Buy) · Derivative | 14,150 | $0.00 Strike: $5.96 | $0.00 |
DisclosureSEC source: 0000899243-22-007645 · doc4.xml · derivative · entry 1 George Jean · CIK 0001291804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,150 Underlying: Common Stock · 14,150 shares Expires 2032-02-22 F1 · derivative.exercise_date: The shares of common stock underlying this stock option award vest in full on February 22, 2023, subject to the Reporting Person's continued service to the board of directors of the Company through the applicable vesting date. 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 |
| June 22, 2021 Filed Jun 24, 2021 20:48 UTC | Cyteir Therapeutics, Inc. CYT · Entity 92707 | ConversionSeries C Convertible Preferred Stock · Derivative | 832,026 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-025821 · doc4.xml · derivative · entry 3 George Jean · CIK 0001291804 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 244,081 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 B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F1 · price: Each share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: Shares held by Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. The Reporting Person is a managing director of LSV Associates II, LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest therein. Read SEC document |
| June 22, 2021 Filed Jun 24, 2021 20:48 UTC | Cyteir Therapeutics, Inc. CYT · Entity 92707 | ConversionSeries B Convertible Preferred Stock · Derivative | 7,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-025821 · doc4.xml · derivative · entry 2 George Jean · CIK 0001291804 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,200,187 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 B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F1 · price: Each share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: Shares held by Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. The Reporting Person is a managing director of LSV Associates II, LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest therein. Read SEC document |
| June 22, 2021 Filed Jun 24, 2021 20:48 UTC | Cyteir Therapeutics, Inc. CYT · Entity 92707 | ConversionCommon Stock | 2,444,268 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-025821 · doc4.xml · nonDerivative · entry 1 George Jean · CIK 0001291804 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,444,268 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 B Convertible Preferred Stock and Series C Convertible Preferred Stock converted into shares of Common Stock at a ratio of 3.4088:1 upon completion of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: Shares held by Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. LSV Associates II, LLC is the general partner of Lightstone Ventures II, L.P. and Lightstone Ventures II (A), L.P. The Reporting Person is a managing director of LSV Associates II, LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest therein. Read SEC document |
| June 11, 2021 Filed Jun 14, 2021 16:05 UTC | Calithera Biosciences, Inc. CALA · Entity 113073 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $2.28 | $0.00 |
DisclosureSEC source: 0000899243-21-023533 · doc4.xml · derivative · entry 1 George Jean · CIK 0001291804 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2031-06-10 F1 · derivative.exercise_date: 1/12 of the Option vests in each monthly installment as measured from June 11, 2021, until the earlier of the Option's full vesting or the reporting person ceasing to provide continuous service to the issuer. In addition, in the event of a Change in Control or a Corporate Transaction (each as defined in the plan pursuant to which the Option was granted), any unvested portion of the Option will fully vest and become exercisable as of immediately prior to the effective time of such Change in Control or Corporate Transaction, subject to the reporting person's continuous service on the effective date of such transaction. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.