SEC Form 4 · accession 0001209191-15-062399
Xencor Inc · XNCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John S Stafford III
Director · 10% Owner
Period of report
Jul 22, 2015
Accepted (ET)
Jul 24, 2015 · 4:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001326732
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 22, 2015 | M | 7,500 | $11.46 | A | 97,500 | D | |
| Common StockF1 | holding | — | — | — | 7,217,240 | I | By Limited Liability Company |
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 Buy)F2 | $11.46 | Jul 22, 2015 | M | 7,500 | A | — | Jun 11, 2024 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1These securities are held of record by Ronin Trading, LLC, a limited liability company owned and managed by the Reporting Person. The Reporting Person is the indirect beneficial owner of all the shares of common stock of Xencor, Inc. held of record by Ronin Trading, LLC.
- F2100% of the shares subject to the option vest on June 12, 2015.