SEC Form 4 · accession 0001140361-18-012009
CytomX Therapeutics, Inc. · CTMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Debanjan Ray
Officer — Chief Financial Officer
Period of report
Mar 1, 2018
Accepted (ET)
Mar 5, 2018 · 4:56 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 | 13,000 | $1.2599 | A | 17,741 | D | |
| Common StockF2 | Mar 1, 2018 | S | 13,000 | $29.4032 | D | 4,741 | D | |
| Common Stock | Mar 2, 2018 | M | 5,515 | $1.2599 | A | 10,256 | D | |
| Common StockF3 | Mar 2, 2018 | S | 5,515 | $30.059 | D | 4,741 | D | |
| Common Stock | Mar 2, 2018 | M | 14,485 | $1.1339 | A | 19,226 | D | |
| Common StockF4 | Mar 2, 2018 | S | 12,541 | $30.411 | D | 6,685 | D | |
| Common StockF5 | Mar 2, 2018 | S | 1,944 | $31.015 | D | 4,741 | D |
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)F6 | $1.2599 | Mar 1, 2018 | M | 13,000 | D | — | Dec 10, 2023 | Common Stock | 13,000 | 20,225 | D |
| Stock Option (Right to Buy)F6 | $1.2599 | Mar 2, 2018 | M | 5,515 | D | — | Dec 10, 2023 | Common Stock | 5,515 | 14,710 | D |
| Stock Option (Right to Buy)F6 | $1.1339 | Mar 2, 2018 | M | 14,485 | D | — | Sep 13, 2021 | Common Stock | 14,485 | 20,000 | 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 $29.81, 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.
- F3The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.38, 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.
- F4The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.99, 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.
- F5The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.09, 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.
- F6100% of the shares subject to the option are fully vested and exercisable.