SEC Form 4 · accession 0001209191-16-090160
Xencor Inc · XNCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Desjarlais
Officer — Sr. V.P., Research & CSO
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 8:09 pm EST
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 | Dec 16, 2015 | G | 100 | $0.00 | D | 27,323 | D | |
| Common Stock | Jan 4, 2016 | M | 1,100 | $0.59 | A | 28,423 | D | |
| Common StockF2 | Jan 4, 2016 | S | 1,100 | $14.1255 | D | 27,323 | 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 buy)F3 | $0.59 | Jan 4, 2016 | M | 1,100 | D | — | Dec 31, 2016 | Common Stock | 1,100 | 37,274 | D |
Explanation of responses
- F1Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted December 14, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.05 to $14.19, 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 stock option is fully vested and exercisable.