SEC Form 4 · accession 0001209191-15-064400
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
Aug 5, 2015
Accepted (ET)
Aug 6, 2015 · 4:56 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 StockF2 | Aug 5, 2015 | S | 9,500 | $22.15 | D | 88,000 | D | |
| Common StockF3 | Aug 5, 2015 | S | 500 | $22.95 | D | 87,500 | D | |
| Common StockF4 | holding | — | — | — | 7,217,240 | I | By Limited Liability Company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reported transaction occured pursuant to a Rule 10b5-1 Plan adopted March 11, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.81 to $22.7570, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.82 to $23.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- F4These 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.