SEC Form 4 · accession 0001140361-18-012008
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
Mar 1, 2018
Accepted (ET)
Mar 5, 2018 · 4:55 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 | Mar 1, 2018 | M | 10,516 | $1.5749 | A | 15,159 | D | |
| Common Stock | Mar 1, 2018 | M | 9,000 | $1.1339 | A | 24,159 | D | |
| Common Stock | Mar 1, 2018 | M | 62 | $0.945 | A | 24,221 | D | |
| Common StockF2 | Mar 1, 2018 | S | 19,578 | $29.428 | D | 4,643 | D | |
| Common StockF3 | holding | — | — | — | 154,237 | 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 | $1.5749 | Mar 1, 2018 | M | 10,516 | D | — | Feb 8, 2025 | Common Stock | 10,516 | 194,804 | D |
| Stock Option (Right to Buy)F5 | $1.1339 | Mar 1, 2018 | M | 9,000 | D | — | Sep 20, 2021 | Common Stock | 9,000 | 328,143 | D |
| Stock Option (Right to Buy)F5 | $0.945 | Mar 1, 2018 | M | 62 | D | — | Feb 25, 2023 | Common Stock | 62 | 66,752 | 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 $29.00 to $29.90, 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.
- F4This option vests in 48 substantially equal monthly installments starting on the last day of January 2015.
- F5100% of the shares subject to the option are fully vested and exercisable.