SEC Form 4 · accession 0001012975-15-000707
CytomX Therapeutics, Inc. · CTMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mark J Levin
10% Owner
Robert I Tepper
10% Owner
Kevin P Starr
10% Owner
THIRD ROCK VENTURES LP
10% Owner
TRV GP, LLC
10% Owner
Third Rock Ventures GP, L.P.
10% Owner
Period of report
Oct 14, 2015
Accepted (ET)
Oct 23, 2015 · 7:15 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 | Oct 14, 2015 | C | 8,670,351 | — | A | 8,670,351 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-1 Preferred StockF3,F1,F2 | — | Oct 14, 2015 | C | 8,105,314 | D | — | — | Common Stock | 8,105,314 | 0 | D |
| Series C Preferred StockF3,F1,F2 | — | Oct 14, 2015 | C | 565,037 | D | — | — | Common Stock | 565,037 | 0 | D |
Explanation of responses
- F1The aggregate number of shares of Issuer's Preferred Stock held by the Reporting Person converted into Common Stock immediately prior to the closing of the Issuer's initial public offering and has no expiration date. These shares converted into Common Stock on a one-for-one basis.
- F2Reflects the conversion of the Issuer's Preferred Stock into Common Stock on a one-for-one basis, which became effective immediately prior to the closing of the Issuer's initial public offering.
- F3The shares are directly held by Third Rock Ventures, L.P. ("TRV"). The general partner of TRV is Third Rock Ventures GP, L.P. ("TRV GP LP"). The general partner of TRV GP LP is TRV GP, LLC ("TRV GP LLC"). The individual managers of TRV GP LLC are Mark Levin ("Levin"), Kevin Starr ("Starr") and Dr. Robert Tepper ("Tepper") and, as such, each of TRV GP LP and TRV GP LLC, Levin, Starr and Tepper exercises shared voting and investment power over the shares held of record by TRV. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any.