SEC Form 4/A · accession 0001140361-17-036201
CytomX Therapeutics, Inc. · CTMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Sean A. McCarthy
Officer — President and CEO · Director
Period of report
Aug 31, 2017
Accepted (ET)
Sep 22, 2017 · 2:58 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 | Aug 31, 2017 | M | 18,756 | $0.945 | A | 23,001 | D | |
| Common Stock | Aug 31, 2017 | S | 6,562 | $17.50 | D | 16,439 | D | |
| Common Stock | Aug 31, 2017 | S | 3,000 | $17.51 | D | 13,439 | D | |
| Common Stock | Aug 31, 2017 | S | 9,194 | $17.50 | D | 4,245 | 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 | $0.945 | Aug 31, 2017 | M | 18,756 | D | — | Feb 25, 2023 | Common Stock | 18,756 | 34,973 | 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.