George Jean's Form 4 filing
Alx Oncology Holdings Inc (ALXO) · filed Dec 10, 2021
- Accession no.
- 0001209191-21-069135
- Filed
- Dec 10, 2021, 7:51 PM ET
- Trade date
- Dec 8-10, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 16 non-derivative transactions. Open-market sales total $4.70M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| George JeanCIK 0001291804 | 10% Owner |
| Carusi Michael ACIK 0001306506 | 10% Owner |
| Plain Henry A JRCIK 0001384286 | 10% Owner |
| Lightstone Ventures, L.P.CIK 0001572522 | 10% Owner |
| Lightstone Ventures (A), L.P.CIK 0001572523 | 10% Owner |
| LSV Associates, LLCCIK 0001643828 | 10% Owner |
| Lightstone Ventures II, L.P.CIK 0001699565 | 10% Owner |
| Lightstone Ventures II (A), L.P.CIK 0001706610 | 10% Owner |
| LSV Associates II, LLCCIK 0001818388 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2021 | Common Stock | SSaleDisposed | −35,836 | $33.23F1 | −$1,190,830.28 | 2,232,251 | Indirect | Duplicate filing |
| Dec 8, 2021 | Common Stock | SSaleDisposed | −4,883 | $33.23F1 | −$162,262.09 | 304,339 | Indirect | Duplicate filing |
| Dec 8, 2021 | Common Stock | SSaleDisposed | −1,531 | $33.80F4 | −$51,747.8 | 2,230,720 | Indirect | Duplicate filing |
| Dec 8, 2021 | Common Stock | SSaleDisposed | −208 | $33.80F4 | −$7,030.4 | 304,131 | Indirect | Duplicate filing |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −11,452 | $31.08F5 | −$355,928.16 | 2,219,268 | Indirect | Duplicate filing |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −1,560 | $31.08F5 | −$48,484.8 | 302,571 | Indirect | Duplicate filing |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −42,203 | $32.06F6 | −$1,353,028.18 | 2,177,065 | Indirect | Duplicate filing |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −5,751 | $32.06F6 | −$184,377.06 | 296,820 | Indirect | Duplicate filing |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −14,028 | $32.73F7 | −$459,136.44 | 2,163,037 | Indirect | Duplicate filing |
| Dec 9, 2021 | Common Stock | SSaleDisposed | −1,911 | $32.73F7 | −$62,547.03 | 294,909 | Indirect | Duplicate filing |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −7,093 | $30.77F8 | −$218,251.61 | 2,155,944 | Indirect | Duplicate filing |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −967 | $30.77F8 | −$29,754.59 | 293,942 | Indirect | Duplicate filing |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −15,942 | $31.55F9 | −$502,970.1 | 2,140,002 | Indirect | Duplicate filing |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −2,172 | $31.55F9 | −$68,526.6 | 291,770 | Indirect | Duplicate filing |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −88 | $32.16 | −$2,830.08 | 2,139,914 | Indirect | Duplicate filing |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −12 | $32.16 | −$385.92 | 291,758 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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.
Referenced by the price of 2 transactions in Table I.
- F4
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.
Referenced by the price of 2 transactions in Table I.
- F5
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.
Referenced by the price of 2 transactions in Table I.
- F6
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.
Referenced by the price of 2 transactions in Table I.
- F7
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.
Referenced by the price of 2 transactions in Table I.
- F8
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.
Referenced by the price of 2 transactions in Table I.
- F9
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.
Referenced by the price of 2 transactions in Table I.