Peter S. Garcia - 16 Sep 2021 Form 4 Insider Report for ALX ONCOLOGY HOLDINGS INC (ALXO)

Role
Chief Financial Officer
Signature
/s/ Peter Garcia
Issuer symbol
ALXO
Transactions as of
16 Sep 2021
Net transactions value
-$958,400
Form type
4
Filing time
17 Sep 2021, 20:45:17 UTC
Previous filing
24 Aug 2021
Next filing
19 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALXO Common Stock Options Exercise $5,818 +1,426 +15% $4.08 10,757 16 Sep 2021 Direct
transaction ALXO Common Stock Sale $114,695 -1,426 -13% $80.43* 9,331 16 Sep 2021 Direct F1, F2
transaction ALXO Common Stock Options Exercise $46,288 +11,345 +122% $4.08 20,676 17 Sep 2021 Direct
transaction ALXO Common Stock Sale $79,944 -1,027 -5% $77.84* 19,649 17 Sep 2021 Direct F1, F3
transaction ALXO Common Stock Sale $565,922 -7,199 -37% $78.61* 12,450 17 Sep 2021 Direct F1, F4
transaction ALXO Common Stock Sale $138,734 -1,746 -14% $79.46* 10,704 17 Sep 2021 Direct F1, F5
transaction ALXO Common Stock Sale $21,901 -273 -2.6% $80.22* 10,431 17 Sep 2021 Direct F1, F6
transaction ALXO Common Stock Sale $89,309 -1,100 -11% $81.19* 9,331 17 Sep 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ALXO Employee Stock Option (right to buy) Options Exercise $0 -1,426 -1.8% $0.000000 79,042 16 Sep 2021 Common Stock 1,426 $4.08 Direct F7
transaction ALXO Employee Stock Option (right to buy) Options Exercise $0 -11,345 -14% $0.000000 67,697 17 Sep 2021 Common Stock 11,345 $4.08 Direct F7
holding ALXO Employee Stock Option (right to buy) 95,659 16 Sep 2021 Common Stock 95,659 $4.08 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.88, 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 ranges set forth in footnotes (2) through (6) to this Form 4.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.05 to $78.045, inclusive.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.05 to $79.045, inclusive.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.05 to $80.02, inclusive.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.05 to $80.51, inclusive.
F7 The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vest on March 9, 2021 and 1/36th of the remaining shares vest monthly thereafter.
F8 The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on January 2, 2021 and 1/36th of the remaining shares vest monthly thereafter.