SEC Form 4 · accession 0001140361-17-045017
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
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 12:55 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 | Nov 30, 2017 | A | 398 | $12.1465 | A | 4,643 | D | |
| Common Stock | Dec 1, 2017 | M | 4,100 | $0.945 | A | 8,743 | D | |
| Common Stock | Dec 1, 2017 | M | 10,240 | $1.1339 | A | 18,983 | D | |
| Common StockF3 | Dec 1, 2017 | S | 14,340 | $20.60 | D | 4,643 | D | |
| Common StockF4 | 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)F5 | $0.945 | Dec 1, 2017 | M | 4,100 | D | — | Feb 25, 2023 | Common Stock | 4,100 | 115,193 | D |
| Stock Option (right to buy)F5 | $1.1339 | Dec 1, 2017 | M | 10,240 | D | — | Sep 20, 2021 | Common Stock | 10,240 | 356,721 | D |
Explanation of responses
- F1398 shares were acquired pursuant to the Issuer's Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
- F2The sale was effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- F3The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $20.42 to $20.78, 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.
- F4Held in McCarthy Family Trust dated August 9, 2001, Sean A. McCarthy and Jeanette J. McCarthy, Trustees.
- F5100% of the shares subject to the option are fully vested and exercisable.