ALX ONCOLOGY HOLDINGS INC
For the period ended Mar 31, 2024. Filed May 9, 2024.
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Mar 31, 2024 · Filed May 9, 2024
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Item 5. Other Information
During our last fiscal quarter, the following director and officer, as defined in Rule 16a-1(f), adopted a “Rule 10b5-1 trading arrangement” as defined in Regulation S-K Item 408, as follows:
On January 11, 2024, Sophia Randolph, our Chief Medical Officer and director, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 144,000 shares of our common stock. The trading arrangement was intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until May 9, 2025, or earlier if all transactions under the trading arrangement are completed. At this time, Dr. Randolph’s previous Rule 10b5-1 trading arrangement dated January 10, 2023 providing for the sale from time to time of an aggregate of up to 149,000 shares of our common stock was cancelled.
No other officers or directors, as defined in Rule 16a-1(f), adopted and/orterminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” as defined in Regulation S-K Item 408, during the last fiscal quarter.
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