Sec Form 4 Filing - LSV Associates, LLC @ ALX ONCOLOGY HOLDINGS INC - 2021-12-08

Insider filing report for Changes in Beneficial Ownership
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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)
12/08/2021
(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 12/08/2021 S 35,836 D $ 33.23( 1 ) 2,232,251 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/08/2021 S 4,883 D $ 33.23( 1 ) 304,339 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 12/08/2021 S 1,531 D $ 33.8( 4 ) 2,230,720 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/08/2021 S 208 D $ 33.8( 4 ) 304,131 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 12/09/2021 S 11,452 D $ 31.08( 5 ) 2,219,268 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/09/2021 S 1,560 D $ 31.08( 5 ) 302,571 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 12/09/2021 S 42,203 D $ 32.06( 6 ) 2,177,065 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/09/2021 S 5,751 D $ 32.06( 6 ) 296,820 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 12/09/2021 S 14,028 D $ 32.73( 7 ) 2,163,037 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/09/2021 S 1,911 D $ 32.73( 7 ) 294,909 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 12/10/2021 S 7,093 D $ 30.77( 8 ) 2,155,944 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/10/2021 S 967 D $ 30.77( 8 ) 293,942 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 12/10/2021 S 15,942 D $ 31.55( 9 ) 2,140,002 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/10/2021 S 2,172 D $ 31.55( 9 ) 291,770 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 12/10/2021 S 88 D $ 32.16 2,139,914 I By Lightstone Ventures, L.P.( 2 )
Common Stock 12/10/2021 S 12 D $ 32.16 291,758 I By Lightstone Ventures (A), L.P.( 3 )
Common Stock 2,023,469 I By Lightstone Ventures II, L.P.( 10 )
Common Stock 120,212 I By Lightstone Ventures II (A), L.P.( 11 )
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 of 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
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, CA94025
X
Lightstone Ventures (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
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
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
LSV Associates, LLC, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Lightstone Ventures, L.P., By: LSV Associates, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Lightstone Ventures (A), L.P., By: LSV Associates, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
LSV Associates II, LLC, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Lightstone Ventures II, L.P., By: LSV Associates II, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Lightstone Ventures II (A), L.P., By: LSV Associates II, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Michael A. Carusi, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Jean M. George, By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Henry A. Plain, Jr., By /s/ Travis Boettner, Attorney-in-Fact 12/10/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )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.
( 3 )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.
( 4 )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.
( 5 )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.
( 6 )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.
( 7 )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.
( 8 )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.
( 9 )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.
( 10 )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.
( 11 )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 thes e 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.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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