SEC Form 4 · accession 0001209191-16-137793
Xencor Inc · XNCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bassil I Dahiyat
Officer — President and CEO · Director
Period of report
Aug 16, 2016
Accepted (ET)
Aug 18, 2016 · 5:00 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 | Aug 16, 2016 | M | 53,021 | $0.59 | A | 365,321 | D | |
| Common Stock | Aug 16, 2016 | M | 61,693 | $0.59 | A | 427,014 | D | |
| Common StockF3 | Aug 16, 2016 | S | 45,786 | $22.06 | D | 381,228 | D | |
| Common Stock | Aug 16, 2016 | S | 100 | $22.78 | D | 381,128 | 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)F4 | $0.59 | Aug 16, 2016 | M | 53,021 | D | — | Dec 31, 2016 | Common Stock | 53,021 | 0 | D |
| Stock Option (right to buy)F4 | $0.59 | Aug 16, 2016 | M | 61,693 | D | — | Dec 31, 2016 | Common Stock | 61,693 | 0 | D |
Explanation of responses
- F1Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted December 15, 2015.
- F2Sale of shares to cover exercise price and taxes for expiring option.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.77 to $22.77, 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.
- F4The stock option is fully vested and exercisable.