SEC Form 4 · accession 0001140361-17-010608
CytomX Therapeutics, Inc. · CTMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean A. McCarthy
Officer — President and CEO · Director
Period of report
Mar 3, 2017
Accepted (ET)
Mar 3, 2017 · 5:36 pm EST
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 Stock | Mar 3, 2017 | M | 14,343 | $1.1339 | A | 16,322 | D | |
| Common Stock | Mar 3, 2017 | S | 14,343 | $15.00 | D | 1,979 | D | |
| Common StockF2 | holding | — | — | — | 158,737 | I | See footnote |
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)F3 | $1.1339 | Mar 3, 2017 | M | 14,343 | D | — | Sep 20, 2021 | Common Stock | 14,343 | 366,961 | D |
Explanation of responses
- F1The sale was effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- F2Held in McCarthy Family Trust dated August 9, 2001, Sean A. McCarthy and Jeanette J. McCarthy, Trustees.
- F3100% of the shares subject to the option are fully vested and exercisable.