SC 13G/A: ALX ONCOLOGY HOLDINGS INC

AI Summary

SC 13G/A filing by ALX ONCOLOGY HOLDINGS INC.

Risk Assessment

Risk Level: low

Key Financial Figures

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

Filing Documents

• ea022116103-13ga1viv9_alxon.htm (SC 13G/A) — 97KB
• ea022116103ex99-1_alxon.htm (EX-99.1) — 10KB
• 0001213900-24-098623.txt ( ) — 109KB

. (a) Name of Issuer

Item 1 . (a) Name of Issuer : ALX Oncology Holdings Inc. (b) Address of Issuer’s Principal Executive Offices: 323 Allerton Avenue South San Francisco, California 94080

(a) Name of Person Filing

Item 2. (a) Name of Person Filing: Vivo Capital Fund IX, L.P. and its General Partner Vivo Capital IX, LLC Vivo Opportunity Fund Holdings, L.P. and its General Partner Vivo Opportunity, LLC (b) Address of Principal Business Office or, if None, Residence: 192 Lytton Avenue, Palo Alto, CA 94301 (c) Citizenship: Vivo Capital Fund IX, L.P. is a Delaware limited partnership. Vivo Capital IX, LLC is a Delaware limited liability company. Vivo Opportunity Fund Holdings, L.P. is a Delaware limited partnership Vivo Opportunity, LLC is a Delaware limited liability company. (d) Title of Class of Securities: Common stock, par value $0.001 per share (e) CUSIP Number: 00166B105

If This Statement is Filed Pursuant to §§

Item 3. If This Statement is Filed Pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c) , Check Whether the Person Filing is a: (a) Broker or dealer registered under Section 15 of the Act. (b) Bank as defined in Section 3(a)(6) of the Act. (c) Insurance company as defined in Section 3(a)(19) of the Act. (d) Investment company registered under Section 8 of the Investment Company Act of 1940. (e) An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E) ; (f) An employee benefit plan or endowment fund in accordance with § 240.13d-1 (b)(1)(ii)(F); (g) A parent holding company or control person in accordance with § 240.13d-1 (b)(l)(ii)(G); (h) A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) A non-U.S. institution in accordance with § 240.13d-1 (b)(1)(ii)(J); (k) Group, in accordance with § 240.13d-1 (b)(l)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1 (b)(1(ii)(j), please specify the type of institution: ________________ Not Applicable. 6

Ownership

Item 4. Ownership. (a) Amount beneficially owned: The 1,813,864 shares of Common Stock are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. (b) Percent of class: Vivo Capital Fund IX, L.P. 3.4 % Vivo Capital IX, LLC: 3.4% Vivo Opportunity Fund Holdings, L.P.: 0% Vivo Opportunity, LLC: 0% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Vivo Capital Fund IX, L.P.: 1,813,864 shares Vivo Capital IX, LLC: 1,813,864 shares Vivo Opportunity Fund Holdings, L.P.: 0 share Vivo Opportunity, LLC: 0 share (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: Vivo Capital Fund IX, L.P.: 1,813,864 shares Vivo Capital IX, LLC: 1,813,864 shares Vivo Opportunity Fund Holdings, L.P.: 0 share Vivo Opportunity, LLC: 0 share (iv) Shared power to dispose of or to direct the disposition of: 0 7

Ownership of Five Percent

Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following .

Ownership of More than

Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable.

Identification and Classification

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not Applicable.

Identification and Classification

Item 8. Identification and Classification of Members of the Group. Not applicable.

Notice of Dissolution

Item 9. Notice of Dissolution of Group. Not applicable.

Certifications

Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a11. 8 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. Vivo Capital Fund IX, L.P. By: Vivo Capital IX, LLC, its General Partner November 14, 2024 (Date) /s/ Frank Kung (Signature) Managing Member (Title) Vivo Capital IX, LLC November 14, 2024 (Date) /s/ Frank Kung (Signature) Managing Member (Title) Vivo Opportunity Fund Holdings, L.P. By: Vivo Opportunity, LLC, its General Partner November 14, 2024 (Date) /s/ Kevin Dai (Signature) Managing Member (Title) Vivo Opportunity, LLC November 14, 2024 (Date) /s/ Kevin Dai (Signature) Managing Member (Title) 9 EXHIBIT INDEX Exhibit 99.1 Joint Filing Statement 10

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