SEC Form 4 · accession 0001140361-17-037691
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
Oct 2, 2017
Accepted (ET)
Oct 4, 2017 · 7:56 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 | Oct 2, 2017 | M | 9,562 | $0.945 | A | 13,807 | D | |
| Common StockF2 | Oct 2, 2017 | S | 9,562 | $18.57 | D | 4,245 | D | |
| Common StockF3 | 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)F4 | $0.945 | Oct 2, 2017 | M | 9,562 | D | — | Feb 25, 2023 | Common Stock | 9,562 | 15,481 | D |
Explanation of responses
- F1The sale was effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- F2The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.10 to $18.97, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F3Held in McCarthy Family Trust dated August 9, 2001, Sean A. McCarthy and Jeanette J. McCarthy, Trustees.
- F4100% of the shares subject to the option are fully vested and exercisable.