SEC Form 4 · accession 0001140361-17-021016
CytomX Therapeutics, Inc. · CTMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
II Robert C. Goeltz
Officer — Chief Financial Officer
Period of report
May 12, 2017
Accepted (ET)
May 16, 2017 · 4:57 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 Stock | May 12, 2017 | M | 9,980 | $4.4728 | A | 22,769 | D | |
| Common Stock | May 12, 2017 | M | 9,987 | $6.6147 | A | 32,756 | 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)F1 | $4.4728 | May 12, 2017 | M | 9,980 | D | — | May 6, 2025 | Common Stock | 9,980 | 204,678 | D |
| Stock Option (Right to Buy)F2 | $6.6147 | May 12, 2017 | M | 9,987 | D | — | Aug 25, 2025 | Common Stock | 9,987 | 85,891 | D |
Explanation of responses
- F1This option vests 25% on May 4, 2016, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, with each additional installment vesting on the last day of the month, except the final installment, which shall vest on May 4, 2019.
- F2This option vests in 48 substantially equal monthly installments starting on August 28, 2015, with each additional installment vesting on the last day of the month starting in September 2015.