Sec Form 4 Filing - LSV Associates, LLC @ ALX ONCOLOGY HOLDINGS INC - 2020-07-21

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person LSV Associates, LLC 2. Issuer Name and Ticker or Trading Symbol ALX ONCOLOGY HOLDINGS INC [ ALXO] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) (Last) (First) (Middle) C/O LSV CAPITAL MANAGEMENT, LLC, 2884 SAND HILL ROAD, SUITE 121 3. Date of Earliest Transaction (MM/DD/YY) 07/21/2020 (Street) MENLO PARK, CA94025 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) _____ Form filed by One Reporting Person __ X __ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 07/21/2020 C 1,831,027 A 2,268,087 ( 4 ) I See footnote ( 5 ) Common Stock 07/21/2020 C 249,632 A 309,222 ( 6 ) I See footnote ( 7 ) Common Stock 07/21/2020 P 378,000 A $ 19 378,000 I See footnote ( 8 ) Common Stock 07/21/2020 C 1,498,984 A 2,023,469 ( 9 ) I See footnote ( 8 ) Common Stock 07/21/2020 P 22,000 A $ 19 22,000 I See footnote ( 10 ) Common Stock 07/21/2020 C 111,528 A 120,212 ( 11 ) I See footnote ( 10 )

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price o f Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Series A Convertible Preferred Stock ( 1 ) 07/21/2020 C 1,633,743 ( 1 ) ( 1 ) Common Stock 1,633,743 ( 1 ) 0 I See footnote ( 5 ) Series A Convertible Preferred Stock ( 1 ) 07/21/2020 C 222,752 ( 1 ) ( 1 ) Common Stock 222,752 ( 1 ) 0 I See footnote ( 7 ) Series A Convertible Preferred Stock ( 1 ) 07/21/2020 C 683,523 ( 1 ) ( 1 ) Common Stock 683,523 ( 1 ) 0 I See footnote ( 8 ) Series A Convertible Preferred Stock ( 1 ) 07/21/2020 C 39,758 ( 1 ) ( 1 ) Common Stock 39,758 ( 1 ) 0 I See footnote ( 10 ) Series B Convertible Preferred Stock ( 2 ) 07/21/2020 C 59,998 ( 2 ) ( 2 ) Common Stock 59,998 ( 2 ) 0 I See footnote ( 5 ) Series B Convertible Preferred Stock ( 2 ) 07/21/2020 C 8,175 ( 2 ) ( 2 ) Common Stock 8,175 ( 2 ) 0 I See footnote ( 7 ) Series B Convertible Preferred Stock ( 2 ) 07/21/2020 C 150,801 ( 2 ) ( 2 ) Common Stock 150,801 ( 2 ) 0 I See footnote ( 8 ) Series B Convertible Preferred Stock ( 2 ) 07/21/2020 C 11,110 ( 2 ) ( 2 ) Common Stock 11,110 ( 2 ) 0 I See footnote ( 10 ) Series C Convertible Preferred Stock ( 3 ) 07/21/2020 C 137,286 ( 3 ) ( 3 ) Common Stock 137,286 ( 3 ) 0 I See footnote ( 5 ) Series C Convertible Preferred Stock ( 3 ) 07/21/2020 C 18,705 ( 3 ) ( 3 ) Common Stock 18,705 ( 3 ) 0 I See footnote ( 7 ) Series C Convertible Preferred Stock ( 3 ) 07/21/2020 C 664,660 ( 3 ) ( 3 ) Common Stock 664,660 ( 3 ) 0 I See footnote ( 8 ) Series C Convertible Preferred Stock ( 3 ) 07/21/2020 C 38,660 ( 3 ) ( 3 ) Common Stock 38,660 ( 3 ) 0 I See footnote ( 10 )

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other LSV Associates, LLC C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X Lightstone Ventures, L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA X Lightstone Ventures (A), L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X Lightstone Ventures II, L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X Lightstone Ventures II (A), L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X LSV Associates II, LLC C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X Carusi Michael A C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X George Jean C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X Plain Henry A JR C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA94025 X Signatures /s/ Travis Boettner, by power of attorney for LSV Associates, LLC, the General Partner of Lightstone Ventures, L.P. 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for LSV Associates, LLC, the General Partner of Lightstone Ventures(A), L.P. 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for LSV Associates, LLC 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for LSV Associates II, LLC, the General Partner of Lightstone Ventures II, L.P. 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for LSV Associates II, LLC, the General Partner of Lightstone Ventures II(A), L.P. 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for LSV Associates II, LLC 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for Michael A. Carusi 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for Jean M. George 07/21/2020 Signature of Reporting Person Date /s/ Travis Boettner, by power of attorney for Henry A. Plain, Jr. 07/21/2020 Signature of Reporting Person Date

Explanation of Responses:

( 1 )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. ( 2 )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. ( 3 )Each share of Series C Convertibl e 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 ( 4 )Includes 437,060 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. ( 5 )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. ( 6 )Includes 59,590 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. ( 7 )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. ( 8 )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. ( 9 )Includes 146,485 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. ( 10 )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. ( 11 )Includes 8,684 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

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