Peter S. Garcia - Aug 23, 2021 Form 4 Insider Report for ALX ONCOLOGY HOLDINGS INC (ALXO)

Role
Chief Financial Officer
Signature
/s/ Peter Garcia
Stock symbol
ALXO
Transactions as of
Aug 23, 2021
Transactions value $
-$4,203,962
Form type
4
Date filed
8/24/2021, 06:17 PM
Previous filing
Aug 18, 2021
Next filing
Sep 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALXO Common Stock Options Exercise $245K +60K +643.02% $4.08 69.3K Aug 23, 2021 Direct
transaction ALXO Common Stock Sale -$113K -1.59K -2.3% $70.86* 67.7K Aug 23, 2021 Direct F1, F2
transaction ALXO Common Stock Sale -$252K -3.5K -5.16% $72.03* 64.2K Aug 23, 2021 Direct F1, F3
transaction ALXO Common Stock Sale -$1.31M -18.1K -28.11% $72.66* 46.2K Aug 23, 2021 Direct F1, F4
transaction ALXO Common Stock Sale -$295K -4.01K -8.68% $73.57* 42.2K Aug 23, 2021 Direct F1, F5
transaction ALXO Common Stock Sale -$1.46M -19.4K -46.11% $75.09* 22.7K Aug 23, 2021 Direct F1, F6
transaction ALXO Common Stock Sale -$813K -10.7K -47.27% $75.71* 12K Aug 23, 2021 Direct F1, F7
transaction ALXO Common Stock Sale -$201K -2.62K -21.83% $76.66* 9.37K Aug 23, 2021 Direct F1, F8
transaction ALXO Common Stock Sale -$2.71K -35 -0.37% $77.56* 9.33K Aug 23, 2021 Direct F1, F9

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 -40.6K -29.81% $0.00 95.7K Aug 23, 2021 Common Stock 40.6K $4.08 Direct F10
transaction ALXO Employee Stock Option (right to buy) Options Exercise $0 -19.4K -19.4% $0.00 80.5K Aug 23, 2021 Common Stock 19.4K $4.08 Direct F11
* 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 $70.27 to $71.26, 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 (9) 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 $71.27 to $72.265, inclusive.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.275 to $73.265, inclusive.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.30 to $74.295, inclusive.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.31 to $75.305, inclusive.
F7 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.31 to $76.295, inclusive.
F8 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.31 to $77.27, inclusive.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.46 to $77.79, inclusive.
F10 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.
F11 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.