SEC Form 4 · accession 0001288123-15-000015
AGENUS INC · AGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shahzad Malik
Director
Period of report
May 8, 2014
Accepted (ET)
Apr 30, 2015 · 8:59 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 | May 8, 2014 | J | 111,289 | $2.999 | A | 1,107,377 | I | see footnote |
| Common StockF2 | Apr 28, 2015 | S | 700,000 | $7.1608 | D | 407,377 | I | see footnote |
| Common StockF2 | Apr 29, 2015 | S | 407,377 | $7.0176 | D | 0 | I | see footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On May 8, 2014, Agenus Inc. issued to Advent Venture Partners LLP ("Advent") and its affiliated entities, and not Dr. Malik in his individual capacity, 111,289 shares of common stock of Agenus Inc., as repayment for certain indebtedness owed by 4-Antibody-AG, a wholly-owned subsidiary of Agenus Inc., to Advent and its affiliated entities as former shareholders of 4-Antibody AG prior to Agenus Inc.'s acquisition of 4-Antibody AG in February 2014. Dr. Malik is a GP of Advent Venture Partners LLP and shares voting and investment power of the shares, and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F2Represents shares sold by Advent Venture Partners LLP and its affiliated entities, and not Dr. Malik in his individual capacity.