SEC Form 4 · accession 0001209191-18-046514
Xencor Inc · XNCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edgardo Baracchini Jr.
Officer — Chief Business Officer
Period of report
Aug 9, 2018
Accepted (ET)
Aug 13, 2018 · 7:59 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 | 37,266 | $11.05 | A | 37,473 | D | |
| Common StockF2 | Aug 9, 2018 | S | 8,283 | $40.3475 | D | 29,190 | D | |
| Common StockF3 | Aug 10, 2018 | S | 28,983 | $40.025 | D | 207 | D | |
| Common Stock | Aug 13, 2018 | M | 12,734 | $11.05 | A | 12,941 | D | |
| Common StockF4 | Aug 13, 2018 | S | 12,734 | $40.3545 | D | 207 | 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)F5 | $11.05 | Aug 9, 2018 | M | 37,266 | D | — | Feb 20, 2024 | Common Stock | 37,266 | 12,734 | D |
| Stock Option (right to buy)F5 | $11.05 | Aug 13, 2018 | M | 12,734 | D | — | Feb 20, 2024 | Common Stock | 12,734 | 0 | D |
Explanation of responses
- F1Includes 207 shares of Common Stock that were acquired by the Reporting Person on June 8, 2018 pursuant to the Issuer's Employee Stock Purchase Plan.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.82, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.30 to $40.355, 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.
- F5The stock option is fully vested and exercisable.