ALX ONCOLOGY HOLDINGS INC
For the period ended Dec 31, 2023. Filed Mar 7, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 7, 2024
ALXO$1.11-13.6%Stored close · as of Nov 10, 2026
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Item 15. Exhibits, Financial Statement Schedules
(a)
The following documents are filed as part of this Annual Report on Form 10-K:
(1)
Financial Statements
The financial statements filed as part of this Annual Report on Form 10-K are listed in the “Index to Financial Statements” under Part II, Item 8 of this Annual Report on Form 10-K.
(2)
Financial Statement Schedules
Financial statement schedules have been omitted as the information required is not applicable or the information is presented in the financial statements or related notes included in Part II, Item 8 of this Annual Report on Form 10-K.
(3)
Exhibits
The exhibits listed below are filed as part of this Annual Report on Form 10-K, or are incorporated herein by reference, in each case as indicated below.
Exhibit Index
| INCORPORATED BY REFERENCE | ||||||
|---|---|---|---|---|---|---|
| NUMBER | EXHIBIT TITLE | FORM | FILE NO. | EXHIBIT | FILINGDATE | FILEDHEREWITH |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-39386 | 3.1 | July 21, 2020 | |
| 3.2 | Amended and Restated Bylaws of the Registrant. | 8-K | 001-39386 | 3.1 | June 20, 2023 | |
| 4.1 | Amended and Restated Investors’ Rights Agreement among the Registrant and certain of its stockholders, dated April 1, 2020. | S-1 | 333-239490 | 4.1 | June 26, 2020 | |
| 4.2 | Specimen common stock certificate of the Registrant. | S-1 | 333-239490 | 4.2 | June 26, 2020 | |
| 4.3 | Description of Securities. | X | ||||
| 4.4 | Form of Pre-Funded Warrant. | 8-K | 001-39386 | 4.1 | October 6, 2023 | |
| 10.1# | Loan and Security Agreement, dated as of October 27, 2022, among Oxford Finance LLC, as collateral agent, the lenders from time to time party thereto, ALX Oncology Inc., Alexo Therapeutics International, and Sirpant Therapeutics, each as a borrower, and ALX Oncology Holdings Inc., as guarantor. | 8-K | 001-39386 | 10.1 | October 31, 2022 | |
| 10.1.1 | Consent and First Amendment to Loan and Security Agreement, dated as of December 22, 2022. | 10-K | 001-39386 | 10.1.1 | March 9, 2023 | |
| 10.1.2# | Second Amendment to Loan and Security Agreement, dated as of May 31, 2023. | 10-Q | 001-39386 | 10.1 | August 10, 2023 | |
| 10.1.3 | Third Amendment to Loan and Security Agreement, dated as of December 22, 2023, among Oxford Finance LLC, as collateral agent, the lenders party thereto, ALX Oncology Inc., as borrower, and ALX Oncology Holdings Inc., as guarantor. | 8-K | 001-39386 | 10.1 | December 26, 2023 | |
| INCORPORATED BY REFERENCE | |||||
|---|---|---|---|---|---|
| NUMBER · EXHIBIT TITLE · FORM · FILE NO. · EXHIBIT · FILINGDATE · FILEDHEREWITH | |||||
| 10.2 | Sales Agreement, dated December 17, 2021, by and among ALX Oncology Holdings Inc., Cantor Fitzgerald & Co., and Credit Suisse Securities (USA) LLC. | 8-K | 001-39386 | 1.1 | December 17, 2021 |
| 10.2.1# | Amendment No. 1 to the Sales Agreement with Cantor and Credit Suisse, dated August 25, 2023. | 10-Q | 001-39386 | 10.1 | November 13, 2023 |
| 10.3+ | Form of Indemnification Agreement between the Registrant and each of its directors and executive officers. | S-1 | 333-239490 | 10.1 | June 26, 2020 |
| 10.4+ | Amended and Restated 2020 Equity Incentive Plan and forms of agreements thereunder. | S-1/A | 333-239490 | 10.2 | July 13, 2020 |
| 10.5+ | 2020 Employee Stock Purchase Plan. | S-1/A | 333-239490 | 10.3 | July 13, 2020 |
| 10.6+ | Confirmatory Employment Letter between the Registrant and Jason Lettmann. | 8-K | 001-39386 | 10.1 | September 6, 2023 |
| 10.7+ | Confirmatory Employment Letter between the Registrant and Jaume Pons, Ph.D. | 8-K | 001-39386 | 10.2 | September 6, 2023 |
| 10.8+ | Confirmatory Offer Letter between the Registrant and Peter García. | S-1/A | 333-239490 | 10.6 | July 13, 2020 |
| 10.9+ | Confirmatory Offer Letter between the Registrant and Shelly Pinto. | 10-K | 001-39386 | 10.6 | February 28, 2022 |
| 10.10+ | Confirmatory Offer Letter between the Registrant and Sophia Randolph, M.D., Ph.D. | S-1/A | 333-239490 | 10.8 | July 13, 2020 |
| 10.11+ | Executive Incentive Compensation Plan. | S-1/A | 333-239490 | 10.9 | July 13, 2020 |
| 10.12+ | Form of Change in Control and Severance Agreement. | S-1/A | 333-239490 | 10.11 | July 13, 2020 |
| 10.13 | Exclusive (Equity) Agreement between the Registrant and The Board of Trustees of the Leland Stanford Junior University, effective as of March 24, 2015, as amended on April 24, 2015 and May 15, 2015. | S-1 | 333-239490 | 10.12 | June 26, 2020 |
| 10.14 | Amended and Restated Research and Development Services Agreement, dated as of June 18, 2018, between ALX Oncology Inc. and Tollnine, Inc., incorporating Amendment No. 1, dated as of May 3, 2019. | S-1 | 333-239490 | 10.14 | June 26, 2020 |
| 10.15 | Research and Development Services Agreement, dated as of June 25, 2020, between the Registrant and Tallac Therapeutics, Inc. (formerly known as Tollnine, Inc.). | S-1 | 333-239490 | 10.15 | June 26, 2020 |
| 10.16+ | Outside Director Compensation Policy. | 10-Q | 001-39386 | 10.1 | May 11, 2023 |
| INCORPORATED BY REFERENCE | ||||||
| NUMBER | EXHIBIT TITLE | FORM | FILE NO. | EXHIBIT | FILINGDATE | FILEDHEREWITH |
| 21.1 | List of subsidiaries of Registrant. | X | ||||
| 23.1 | Consent of KPMG LLP, Independent Registered Public Accounting Firm. | X | ||||
| 24.1 | Power of Attorney. | X | ||||
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.1* | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.2* | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 97.1 | Compensation Recovery Policy. | X | ||||
| 101.INS | Inline XBRL Instance Document. | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | X | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | X | ||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. | X | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | X | ||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | X | ||||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | X | ||||
Certain confidential information contained in this document, marked by [***], has been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K because it is both (i) not material and (ii) the type of information that the registrant treats as private or confidential.
- Indicates management contract or compensatory plan.
- The certifications attached as Exhibit 32.1 and 32.2 that accompany this Annual Report on Form 10-K are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.
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