Form 4 for ALXO ALX ONCOLOGY HOLDINGS INC
Accepted 2021-09-17 00:00:00 ET · period of report 2021-09-16 · accession 0001209191-21-056787 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-09-17 | 2021-09-16+ | ALXO | GARCIA PETER S | CFO | M - OptEx | $4.08 | +12.8K | 20.7K | +162% | +$52.1K |
| DM | 2021-09-17 | 2021-09-16+ | ALXO | GARCIA PETER S | CFO | S - Sale+OE | $79.12 | -12.8K | 19.6K | -39% | -$1.01M |
| DM | 2021-09-17 | 2021-09-16+ | ALXO | GARCIA PETER S | CFO | M - OptEx | $0.00 | -12.8K | 67.7K | -16% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-16 | M | A | 1,426 | $4.08 | 10,757 | D | — | — | |
| 2 | Common | Common Stock | 2021-09-16 | S | D | 1,426 | $80.43 | 9,331 | D | — | — | (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. |
| 3 | Common | Common Stock | 2021-09-17 | M | A | 11,345 | $4.08 | 20,676 | D | — | — | |
| 4 | Common | Common Stock | 2021-09-17 | S | D | 1,100 | $81.19 | 9,331 | D | — | — | |
| 5 | Common | Common Stock | 2021-09-17 | S | D | 7,199 | $78.61 | 12,450 | D | — | — | (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. |
| 6 | Common | Common Stock | 2021-09-17 | S | D | 1,746 | $79.46 | 10,704 | D | — | — | (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. |
| 7 | Common | Common Stock | 2021-09-17 | S | D | 273 | $80.22 | 10,431 | D | — | — | (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. |
| 8 | Common | Common Stock | 2021-09-17 | S | D | 1,027 | $77.84 | 19,649 | D | — | — | (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. |
| 9 | Derivative | Employee Stock Option (right to buy) | 2021-09-16 | M | D | 1,426 | $0.00 | 79,042 | D | $4.08 · — to 2030-03-09 | 1,426 Common Stock | (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. |
| 10 | Derivative | Employee Stock Option (right to buy) | 2021-09-17 | M | D | 11,345 | $0.00 | 67,697 | D | $4.08 · — to 2030-03-09 | 11,345 Common Stock | (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. |