SEC Form 4 · accession 0001288123-17-000039
AGENUS INC · AGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Garo H Armen
Officer — Chairman and CEO
Period of report
Nov 30, 2017
Accepted (ET)
Dec 4, 2017 · 4:14 pm EST
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 | Nov 30, 2017 | J | 300,000 | $3.96 | D | 1,290,441 | D | |
| Comon StockF2 | holding | — | — | — | 304,046 | I | By Trust and Antigenics Holdings |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents deposit of Agenus Inc. common shares into the Garo Armen 2017 2 Year AG GRAT.
- F2Dr. Armen is trustee and has investment authority for the Garo Armen 2017 2 Year AG GRAT holding 300,000 shares of Agenus Inc. common stock. Dr. Armen disclaims beneficial ownership therein. Dr. Armen is 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.