SEC Form 3 · accession 0001288123-18-000018
AGENUS INC · AGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christian Cortis
Officer — Chief Strategy Officer
Period of report
Jun 21, 2018
Accepted (ET)
Jun 22, 2018 · 4:58 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 | holding | — | — | — | 19,849 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option, right to buyF1 | $6.85 | holding | — | — | — | Apr 13, 2016 | May 1, 2025 | Common Stock | 85,000 | — | D |
| Stock Option, right to buyF2 | $4.16 | holding | — | — | — | Mar 31, 2017 | Mar 31, 2026 | Common Stock | 50,000 | — | D |
| Stock Option, right to buyF3 | $3.77 | holding | — | — | — | Mar 31, 2018 | Mar 31, 2027 | Common Stock | 60,000 | — | D |
| Stock Option, right to buyF4 | $5.65 | holding | — | — | — | Mar 2, 2019 | Mar 2, 2028 | Common Stock | 100,000 | — | D |
Explanation of responses
- F1Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests in four equal annual installments beginning April 13, 2016.
- F2Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Plan and vests in three years with one-third vested on March 31, 2017 and the balance in equal quarterly installments.
- F3Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests on-third on the one-year anniversary of the grant date, March 31, 2017, with the balance vesting in equal quarterly installments thereafter.
- F4Options was granted on March 2, 2018 subject to shareholder approval, which was obtained at the Company's annual shareholder meeting on June 20, 2018. Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan, and vests over three years with one-third of the award vesting on March 2, 2019 and the balance vesting in equal quarterly installments thereafter.