SEC Form 4 · accession 0001140361-18-027475
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
Jun 1, 2018
Accepted (ET)
Jun 5, 2018 · 7:46 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 StockF1 | May 31, 2018 | A | 1,187 | $17.901 | A | 5,928 | D | |
| Common Stock | Jun 1, 2018 | M | 3,000 | $1.2599 | A | 8,928 | D | |
| Common StockF3,F1 | Jun 1, 2018 | S | 3,000 | $25.931 | D | 5,928 | 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)F4 | $1.2599 | Jun 1, 2018 | M | 3,000 | D | — | Dec 10, 2023 | Common Stock | 3,000 | 5,710 | D |
Explanation of responses
- F1The shares were acquired under the issuer's Employee Stock Purchase Plan on May 31, 2018.
- F2The sale was effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- F3This transaction was executed in multiple trades in prices ranging from $25.75 to $26.25, inclusive. The price reported in Column 4 above reflects the weighted average sale price. 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.
- F4100% of the shares subject to the option are fully vested and exercisable.