SEC Form 4 · accession 0000899243-18-009223
AGENUS INC · AGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ulf Wiinberg
Director
Period of report
Mar 31, 2018
Accepted (ET)
Apr 3, 2018 · 4:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001098972
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 31, 2018 | M | 15,915 | — | A | 45,915 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Mar 31, 2018 | M | 15,915 | D | — | — | Common Stock | 15,915 | 0 | D |
| Deferred SharesF1,F3 | $4.526 | Apr 2, 2018 | A | 3,729 | A | — | — | Common Stock | 3,729 | 3,729 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of common stock.
- F2Pursuant to the terms of the Restricted Stock Unit Award Agreement dated March 31, 2017, all 15,915 restricted stock units vested on March 31, 2018.
- F3Acquired under the Agenus Inc. Deferred Compensation Plan, as amended. Deferred Shares represent an equal amount of the Company's common stock to be distributed under the terms of the plan, typically once the director ceases to serve as a director of the Company.