SEC Form 4 · accession 0001288123-15-000041
AGENUS INC · AGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Garo H Armen
Officer — Chairman & CEO
Period of report
Oct 1, 2015
Accepted (ET)
Oct 5, 2015 · 6:06 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 Stock | Oct 1, 2015 | J | 83,697 | $6.61 | A | 1,493,304 | D | |
| Common Stock | Oct 2, 2015 | J | 60,500 | $4.82 | D | 1,432,804 | D | |
| Common StockF3 | holding | — | — | — | 220,349 | I | by Trust and Antigenics Holdings |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents required distribution from the Garo Armen 2014 2 year GRAT.
- F2Represents shares donated to charitable organizations.
- F3Dr. Armen is trustee and has investment authority for the Garo Armen 2014 2 Year GRAT holding 216,303 shares of Agenus Inc. common stock. Dr. Armen disclaims beneficial ownership. Dr. Armen is also Chairman of the Board of Managers and a member of Antigenics Holdings LLC ("Holdings") which as of the date of this report owns 4,046 shares of Agenus Inc. common stock. Dr. Armen has a pecuniary interest in only a portion of the shares held by Holdings and disclaims beneficial ownership to the extent of his pecuniary interest therein.