7,370,690 Shares and Pre-Funded Warrants to Purchase 1,250,000 Shares ALX Oncology Holdings Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • October 6th, 2023 • Alx Oncology Holdings Inc • Pharmaceutical preparations • New York
ALX ONCOLOGY HOLDINGS INC. INDEMNIFICATION AGREEMENTIndemnification Agreement • June 26th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations • Delaware
This Indemnification Agreement (this “Agreement”) is dated as of [_______, 20__] and is between ALX Oncology Holdings Inc., a Delaware corporation (the “Company”), and [insert name of indemnitee] (“Indemnitee”).
AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENTInvestors’ Rights Agreement • June 26th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations • Delaware
THIS AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT (this “Agreement”), is made as of April 1, 2020, by and among ALX Oncology Holdings, Inc., a Delaware corporation (the “Company”), ALX Oncology Limited, a private Irish company limited by shares (the “ALX”) and each of the investors listed on Schedule A hereto, each of which is referred to in this Agreement as an “Investor”.
ALX ONCOLOGY HOLDINGS INC. CHANGE IN CONTROL AND SEVERANCE AGREEMENTChange in Control and Severance Agreement • July 13th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations • California
This Change in Control and Severance Agreement (the “Agreement”) is made by and between ALX Oncology Holdings Inc., a Delaware corporation (the “Company”), and (“Executive”), effective as of the Effective Date, as defined in Section 8 below.
ALX ONCOLOGY HOLDINGS INC. Shares of Common Stock (par value $0.001 per share) Sales AgreementSales Agreement • December 17th, 2021 • Alx Oncology Holdings Inc • Pharmaceutical preparations • New York
ALX Oncology Holdings Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. and Credit Suisse Securities (USA) LLC (collectively, the “Agents”, each the “Agent”), as follows:
July 9, 2020 Jaume Pons, Ph.D. Via Email Re: Confirmatory Employment Letter Dear Jaume:Employment Letter Agreement • July 13th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations • California
This confirmatory employment letter agreement (the “Agreement”) is entered into between Jaume Pons (“you”) and ALX Oncology Holdings Inc. (the “Company” or “we”), effective as of July 9, 2020 (the “Effective Date”), to confirm the terms and conditions of your employment with the Company as of the Effective Date.
SPECIFIC TERMS IN THIS EXHIBIT HAVE BEEN REDACTED BECAUSE CONFIDENTIAL TREATMENT FOR THOSE TERMS HAS BEEN REQUESTED. THE REDACTED MATERIAL HAS BEEN SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION, AND THE TERMS HAVE BEEN MARKED AT THE...Exclusive (Equity) Agreement • June 26th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations • California
This Exclusive (Equity) Agreement (“Agreement”) between THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY (“Stanford”), an institution of higher education having powers under the laws of the State of California, and Alexo Therapeutics International, (“Alexo”), a Cayman Islands exempted company is effective on the 24th day of March, 2015 (“Effective Date”).
September 5, 2023 Jaume Pons, Ph.D. Via Email Re: Confirmatory Employment Letter Dear Jaume:Employment Letter Agreement • September 6th, 2023 • Alx Oncology Holdings Inc • Pharmaceutical preparations
This confirmatory employment letter agreement (the “Agreement”) is entered into between Jaume Pons (“you”) and ALX Oncology Holdings Inc. (the “Company” or “we”), effective as of September 6, 2023 (the “Effective Date”), to confirm the terms and conditions of your employment with the Company as set forth below.
Burlingame, CA 94010 Phone: (650) 466-7125Employment Letter Agreement • February 28th, 2022 • Alx Oncology Holdings Inc • Pharmaceutical preparations
This confirmatory employment letter agreement (the “Agreement”) is entered into between Shelly Pinto (“you”) and ALX Oncology Holdings Inc. (the “Company” or “we”), effective as of May 3, 2021 (the “Effective Date”), to confirm the terms and conditions of your employment with the Company as of the Effective Date.
SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • August 10th, 2023 • Alx Oncology Holdings Inc • Pharmaceutical preparations • California
THIS SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of May 31, 2023, by and among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 115 South Union Street, Suite 300, Alexandria, VA 22314 (“Oxford”), as collateral agent (in such capacity, “Collateral Agent”), the Lenders party hereto including Oxford in its capacity as a Lender, OXFORD FINANCE CREDIT FUND II LP, by its manager Oxford Finance Advisors, LLC with an office located at 115 South Union Street, Suite 300, Alexandria, VA 22314, and SILICON VALLEY BANK, a division of First-Citizens Bank & Trust Company (successor by purchase to the Federal Deposit Insurance Corporation as Receiver for Silicon Valley Bridge Bank, N.A. (as successor to Silicon Valley Bank)) with an office located at 3003 Tasman Drive, Santa Clara, CA 95054 (“Bank” or “SVB”) (each a “Lender” and collectively, the “Lenders”), ALX ONCOLOGY INC., a Delaware corporation with offices located at 323
ContractSales Agreement • November 13th, 2023 • Alx Oncology Holdings Inc • Pharmaceutical preparations • New York
[***] = Pursuant to Item 601(b)(10) of Regulation S-K, certain information contained in this document, marked by brackets, has been omitted because it is both not material and is the type of information that the registrant treats as private or confidential.
LOAN AND SECURITY AGREEMENTLoan and Security Agreement • June 12th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations
THIS LOAN AND SECURITY AGREEMENT (as amended, restated, modified or otherwise supplemented from time to time, this “Agreement”) dated as of December 20, 2019 (the “Effective Date”), among (a) SILICON VALLEY BANK, a California corporation, in its capacity as administrative agent and collateral agent (“Agent”), (b) SILICON VALLEY BANK, a California corporation, as a lender (“SVB”), (c) WESTRIVER INNOVATION LENDING FUND VIII, L.P., a Delaware limited partnership (“WestRiver”), as a lender (SVB and WestRiver and each of the other “Lenders” from time to time a party hereto are referred to herein collectively as the “Lenders” and each individually as a “Lender”), and (d) (i) ALEXO THERAPEUTICS INTERNATIONAL, an exempted company incorporated under the laws of the Cayman Islands (“Alexo”), and (ii) SIRPANT THERAPEUTICS, an exempted company incorporated under the laws of the Cayman Islands (“Sirpant”; together with Alexo, individually and collectively, jointly and severally, the “Borrower”), pr
AMENDED AND RESTATED RESEARCH AND DEVELOPMENT SERVICES AGREEMENT dated as of June 18, 2018 by and among ALX ONCOLOGY INC. and TOLLNINE, INC.Research and Development Services • June 26th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations • New York
This research and development services agreement (the “Agreement”) is entered into as of June 18, 2018, (the “Effective Date”) by and between Tollnine, Inc., a Delaware corporation (“Tollnine”) having an address at 1700 Owens Street, Suite 595, San Francisco, CA 94158, and ALX Oncology Inc., a Delaware corporation (“ATI”, formerly Alexo Therapeutics Inc.) having an address at 866 Malcolm Road, Suite 100, Burlingame, CA 94010. Tollnine and ATI are sometimes referred to herein individually as a “Party” and collectively as the “Parties”.
RESEARCH AND DEVELOPMENT SERVICES AGREEMENTResearch and Development Services Agreement • June 26th, 2020 • Alx Oncology Holdings Inc • Pharmaceutical preparations • Delaware
This research and development services agreement (the “Agreement”) is made effective as of July 1, 2020 (the “Effective Date”) by and between ALX Oncology Holdings Inc., a Delaware corporation (“ALX”) having an address at 866 Malcolm Road, Suite 100, Burlingame, California 94010, and Tallic Therapeutics, Inc. (f/k/a Tollnine, Inc.), a Delaware corporation (“Tallac”) having an address at 1700 Owens Street, Suite 595, San Francisco, California 94158. ALX and Tallac are sometimes referred to herein individually as a “Party” and collectively as the “Parties”.
CONSENT AND FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • March 9th, 2023 • Alx Oncology Holdings Inc • Pharmaceutical preparations • California
THIS CONSENT AND FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Consent”) is entered into as of December 22, 2022, by and among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 115 South Union Street, Suite 300, Alexandria, VA 22314 (“Oxford”), as collateral agent (in such capacity, “Collateral Agent”), the Lenders party thereto including Oxford in its capacity as a Lender, OXFORD FINANCE CREDIT FUND II LP, by its manager Oxford Finance Advisors, LLC with an office located at 115 South Union Street, Suite 300, Alexandria, VA 22314, and SILICON VALLEY BANK, a California corporation with an office located at 3003 Tasman Drive, Santa Clara, CA 95054 (“Bank” or “SVB”) (each a “Lender” and collectively, the “Lenders”), ALX ONCOLOGY INC., a Delaware corporation with offices located at 323 Allerton Avenue, South San Francisco, CA 94080, ALEXO THERAPEUTICS INTERNATIONAL, an exempted company incorporated with limited liability under the laws of the Cayma
THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENTLoan and Security Agreement • December 26th, 2023 • Alx Oncology Holdings Inc • Pharmaceutical preparations • California
THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of December 22, 2023, by and among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 115 South Union Street, Suite 300, Alexandria, VA 22314 (“Oxford”), as collateral agent (in such capacity, “Collateral Agent”), the Lenders party hereto including Oxford in its capacity as a Lender, OXFORD FINANCE CREDIT FUND II LP, by its manager Oxford Finance Advisors, LLC with an office located at 115 South Union Street, Suite 300, Alexandria, VA 22314, and SILICON VALLEY BANK, a division of First-Citizens Bank & Trust Company, with an office located at 3003 Tasman Drive, Santa Clara, CA 95054 (“Bank” or “SVB”) (each a “Lender” and collectively, the “Lenders”), ALX ONCOLOGY INC., a Delaware corporation with offices located at 323 Allerton Avenue, South San Francisco, CA 94080 (“Borrower”), and ALX ONCOLOGY HOLDINGS INC., a Delaware corporation with offices located at 323 Allert
ContractAlx Oncology Holdings Inc • September 6th, 2023 • Pharmaceutical preparations
ContractAlx Oncology Holdings Inc • June 12th, 2020 • Pharmaceutical preparations • California
THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM AND SUBSTANCE SATISFACTORY TO THE ISSUER, SUCH OFFER, SALE, PLEDGE OR OTHER TRANSFER IS EXEMPT FROM SUCH REGISTRATION.
