SEC Form 4 · accession 0001140361-17-037828
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 4, 2017
Accepted (ET)
Oct 6, 2017 · 6:37 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 4, 2017 | M | 19,120 | $0.945 | A | 23,365 | D | |
| Common StockF2 | Oct 4, 2017 | S | 19,120 | $24.13 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF5,F4 | $0.945 | Oct 4, 2017 | M | 19,120 | D | — | Feb 25, 2023 | Common Stock | 19,120 | 133,635 | 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 $23.51 to $24.39, 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.
- F5Previous Form 4s filed by the Reporting Person included an error in the number of securities beneficially owned by the Reporting Person in Table II, Box 9. The number of derivative securities beneficially owned as reported in Table II, Box 9 of this Form 4 has been adjusted to correct the previous errors and reflects the current number of derivative securities beneficially owned as of this filing date.