SEC Form 4 · accession 0001209191-18-046308
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
Aug 9, 2018
Accepted (ET)
Aug 10, 2018 · 6:36 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 StockF1 | Aug 9, 2018 | M | 35,000 | $4.25 | A | 123,098 | D | |
| Common StockF2 | Aug 9, 2018 | S | 20,133 | $40.6114 | D | 102,965 | D | |
| Common StockF3 | Aug 10, 2018 | S | 14,867 | $40.0277 | D | 88,098 | 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 | $4.25 | Aug 9, 2018 | M | 35,000 | D | — | Sep 3, 2023 | Common Stock | 35,000 | 27,522 | D |
Explanation of responses
- F1Includes the following shares acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan: 156 shares of Common Stock acquired on June 19, 2017, 159 shares of Common Stock acquired on December 10, 2017 and 107 shares of Common Stock acquired on June 8, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.77 to $42.00, 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 $40.00 to $40.0558, 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.