SEC Form 4 · accession 0001209191-15-003951
AGENUS INC · AGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 20,000 | $5.55 | D | 9,239,260 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 143,900 | $5.30 | D | 9,095,360 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 146,394 | $5.27 | D | 8,948,966 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 53,606 | $5.21 | D | 8,895,360 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 400,000 | $5.62 | D | 8,495,360 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 215,000 | $5.19 | D | 8,280,360 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 856,920 | $5.18 | D | 7,423,440 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 43,080 | $5.57 | D | 7,380,360 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 100,000 | $5.20 | D | 7,280,360 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 50,000 | $5.44 | D | 7,230,360 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 89,800 | $5.49 | D | 7,140,560 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 100,000 | $5.35 | D | 7,040,560 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 83,100 | $5.31 | D | 6,957,460 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.01 par value | Jan 9, 2015 | S | 41,830 | $5.33 | D | 6,915,630 | I | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
Table II — derivative securities
Remarks
On January 9, 2015, Quintessence Fund L.P. sold 216,080 shares of Common Stock, QVT Fund IV LP sold 302,334 shares of Common Stock and QVT Fund V LP sold 1,825,216 shares of Common Stock. As a result, Quintessence Fund L.P. directly beneficially owns 637,610 shares of Common Stock, QVT Fund IV LP directly beneficially owns 892,132 shares of Common Stock and QVT Fund V LP directly beneficially owns 5,385,888 shares of Common Stock. QVT Associates GP LLC is the general partner of QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. (together with QVT Fund IV LP, and QVT Fund V LP, the "Funds"). QVT Financial LP is the investment manager for the Funds and therefore may be deemed the beneficial owner of the Common Stock held by the Funds. QVT Financial GP LLC is the general partner of QVT Financial LP and therefore may be deemed the beneficial owner of Common Stock beneficially owned by QVT Financial LP. The reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.