SEC Form 4 · accession 0001209191-16-095084
Xencor Inc · XNCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John S Stafford III
10% Owner
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 9:11 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 StockF2 | Jan 29, 2016 | P | 25 | $10.8299 | A | 25 | I | By Limited Liability Company |
| Common StockF2 | Feb 1, 2016 | S | 25 | $10.79 | D | 0 | I | By Limited Liability Company |
| Common Stock | holding | — | — | — | 5,264,740 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person's purchase of the Issuer's common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 25 shares, with the Reporting Person's sale of 30,000 shares of the Issuer's common stock at a weighted average price of $15.1302 per share on December 3, 2015. The Reporting Person has agreed to pay to the Issuer, upon settlement of the purchase, $107.50, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.
- F2These securities are held of record by Ronin Capital, 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 Capital, LLC.