SEC Form 3 · accession 0001288123-18-000023
AGENUS INC · AGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Evan Kearns
Officer — VP, General Counsel
Period of report
Jul 12, 2018
Accepted (ET)
Jul 13, 2018 · 3:19 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 | — | — | — | 12,915 | 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 | $2.85 | holding | — | — | — | Oct 6, 2016 | Oct 6, 2024 | Common Stock | 18,750 | — | D |
| Stock Option, Right to buyF2 | $5.04 | holding | — | — | — | May 12, 2015 | Feb 12, 2025 | Common Stock | 5,833 | — | D |
| Stock Option, Right to buyF3 | $4.16 | holding | — | — | — | Mar 31, 2017 | Mar 31, 2026 | Common Stock | 20,000 | — | D |
| Stock Option, Right to buyF4 | $3.77 | holding | — | — | — | Mar 31, 2018 | Mar 31, 2027 | Common Stock | 25,000 | — | D |
| Stock Option, Right to buyF5 | $5.65 | holding | — | — | — | Mar 2, 2019 | Mar 2, 2028 | Common Stock | 45,000 | — | D |
| Stock Option, Right to buyF6 | $2.21 | holding | — | — | — | Jul 12, 2019 | Jul 12, 2028 | Common Stock | 50,000 | — | D |
Explanation of responses
- F1Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests in 6,250 shares in annual installments beginning October 6, 2016.
- F2Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests in 12 equal quarterly installments beginning May 12, 3015.
- F3Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests in three years with one-third vesting on March 31, 2017 and the balance in equal quarterly installments thereafter.
- F4Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests one-third on the one-year anniversary of the grant date, March 31, 2017, with the balance vesting in equal quarterly installments thereafter.
- F5Options granted March 2, 2018 subject to shareholder approval, which was obtained at the Company's annual shareholder meeting on June 20, 2018. Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan, and vests over three years with one-third vesting on March 2, 2019 and the balance vesting in equal quarterly installments thereafter.
- F6Options 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 the one-year anniversary of the grant date and the balance vesting in equal quarterly installments thereafter.