SEC Form 4 · accession 0000899243-17-008729
CytomX Therapeutics, Inc. · CTMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil Exter
Director
Period of report
Mar 23, 2017
Accepted (ET)
Mar 27, 2017 · 7:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501989
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Mar 23, 2017 | S$0 | 0 | $0.00 | D | 0 | I | See footnote |
| Common StockF4,F5,F3 | Mar 27, 2017 | S$0 | 0 | $0.00 | D | 0 | I | See footnote |
| Common Stock | holding | — | — | — | 11,199 | I | By The Neil Exter 2012 Irrevocable |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 23, 2017, Third Rock Ventures, L.P. ("TRV") sold 1,000,000 shares of Common Stock of the Issuer. The shares were sold in one execution at a price per share of $17.0002.
- F2After the transaction referenced in note (1), TRV owned 5,820,348 shares of Common Stock of the Issuer.
- F3The reporting person is a partner of Third Rock Ventures GP, L.P., which is the general partner of TRV. The reporting person disclaims beneficial ownership over the shares held by TRV, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of such shares.
- F4On March 27, 2017, TRV sold 650,000 shares of Common Stock of the Issuer. The shares were sold in multiple transactions at prices ranging from $18.00 to $18.45, inclusive, and at a weighted average price of $18.0003. 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 ranges set forth in this footnote (4).
- F5After the transaction referenced in note (4), TRV owned 5,170,348 shares of Common Stock of the Issuer.