Lightstone Ventures Amends ALX Oncology Holdings Stake

TL;DR

🚨 **Major shareholder LSV Associates and Lightstone Ventures group just updated their stake in ALX Oncology Holdings via a 13D/A filing!**

AI Summary

LSV Associates, LLC, along with Lightstone Ventures entities and individuals Henry A. Plain, Jr., Jean M. George, and Michael A. Carusi, filed an Amendment No. 2 to Schedule 13D on February 14, 2024, regarding their ownership in ALX Oncology Holdings Inc. The filing updates their previously disclosed beneficial ownership stake in the company's Common Stock, which has a par value of $0.001 per share.

Why It Matters

An amendment to a Schedule 13D indicates a change in a significant shareholder's position or intent, which can signal shifts in control, investment strategy, or potential future actions regarding the company.

Risk Assessment

Risk Level: medium — The filing indicates a change in a significant ownership stake, which can impact market perception, but the specific nature of the change (increase, decrease, or change in intent) is not detailed in this snippet.

Key Numbers

• $0.001 — Par Value per Share (Par value of ALX Oncology Holdings Inc. Common Stock)

Key Players & Entities

• ALX Oncology Holdings Inc. (company) — Subject Company
• LSV Associates, LLC (company) — Filing Party
• Lightstone Ventures (company) — Group Member
• Henry A. Plain, Jr. (person) — Group Member
• Jean M. George (person) — Group Member
• Michael A. Carusi (person) — Group Member
• Travis Boettner (person) — Contact for Lightstone Ventures
• $0.001 (dollar_amount) — Par value per share

FAQ

Key Financial Figures

• $0.001 — ame of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securiti

Filing Documents

• tm246244d1_sc13da.htm (SC 13D/A) — 302KB
• 0001104659-24-024164.txt ( ) — 304KB

Interest in Securities of the

Item 5. Interest in Securities of the Issuer

of the Schedule 13D is hereby amended and restated in its

Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows: (a)– (b). The following information with respect to the ownership of the Common Stock of the Issuer by the persons filing this statement on Schedule 13D is provided as of February 12, 2024: Reporting Persons Shares Held Directly (1) Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Beneficial Percentage of Class (3) LV LP 1,366,530 1,366,530 0 1,366,530 0 1,366,530 2.7 % LV(A) LP 186,315 186,315 0 186,315 0 186,315 0.4 % LSV Associates (2) 0 1,552,845 0 1,552,845 0 1,552,845 3.1 % LV II LP 1,318,409 1,318,409 0 1,318,409 0 1,318,409 2.6 % LV II(A) LP 78,326 78,326 0 78,326 0 78,326 0.2 % LSV Associates II (2) 0 1,396,735 0 1,396,735 0 1,396,735 2.8 % Michael A. Carusi 0 0 2,949,580 0 2,949,580 2,949,580 5.9 % Jean M. George 0 0 2,949,580 0 2,949,580 2,949,580 5.9 % Henry A. Plain, Jr. 0 0 2,949,580 0 2,949,580 2,949,580 5.9 % (1) Represents the number of shares of Common Stock currently underlying all Securities held by the Reporting Persons. (2) LSV Associates serves as the general partner of each of LV LP and LV(A) LP. LSV Associates II serves as the general partner of each of LV II LP and LV II(A) LP. Messrs. Carusi and Plain, and Ms. George, the individual managing directors of each of LSV Associates and LSV Associates II, share voting and dispositive power with respect to the shares held of record by each of LV LP, LV(A) LP, LV II LP and LV II(A) LP, and may be deemed to own beneficially the shares held by each of LV LP, LV(A) LP, LV II LP and LV II(A) LP. Messrs. Carusi and Plain, and Ms. George own no securities of the Issuer directly as of the date of this filing. (3) This percentage is calculated based upon 49,818,812 shares of Common Stock outstanding as of November 6, 2023, as reported in the Issuer’s Quarte

Material to be Filed as Exhibits

Item 7. Material to be Filed as Exhibits A. Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2024 Lightstone Ventures, L.P. Lightstone Ventures II, L.P. By: LSV Associates, LLC By: LSV Associates II, LLC Its: General Partner Its: General Partner By: /s/ Travis Boettner By: /s/ Travis Boettner Travis Boettner, Attorney-in-Fact Travis Boettner, Attorney-in-Fact Lightstone Ventures (A), L.P. Lightstone Ventures II (A), L.P. By: LSV Associates, LLC By: LSV Associates II, LLC Its: General Partner Its: General Partner By: /s/ Travis Boettner By: /s/ Travis Boettner Travis Boettner, Attorney-in-Fact Travis Boettner, Attorney-in-Fact LSV Associates, LLC LSV Associates II, LLC By: /s/ Travis Boettner By: /s/ Travis Boettner Travis Boettner, Attorney-in-Fact Travis Boettner, Attorney-in-Fact /s/ Travis Boettner Travis Boettner, Attorney-in-Fact for Michael A. Carusi /s/ Travis Boettner Travis Boettner, Attorney-in-Fact for Jean M. George /s/ Travis Boettner Travis Boettner, Attorney-in-Fact for Henry A. Plain, Jr. ATTENTION Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001). SCHEDULE A Transactions in Common Stock Since December 13, 2023 Date of Sale Reporting Person Amount of Securities Sold Weighted Average Price ($) Low Price ($) High Price ($) 12/14/2023 LV LP 20,802 $ 13.25 $ 12.83 $ 13.75 12/14/2023 LV(A) LP 2,836 $ 13.25 $ 12.83 $ 13.75 12/14/2023 LV II LP 20,069 $ 13.25 $ 12.83 $ 13.75 12/14/2023 LV II(A) LP 1,193 $ 13.25 $ 12.83 $ 13.75 12/15/2023 LV LP 214,091 $ 13.66 $ 13.39 $ 14.16 12/15/2023 LV(A) LP 29,190 $ 13.66 $ 13.39

View Full Filing

View this SC 13D/A filing on SEC EDGAR