Initial Statement of Beneficial Ownership (3)
June 22 2018 - 05:00PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Cortis Christian
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/21/2018
|
3. Issuer Name
and
Ticker or Trading Symbol
AGENUS INC [AGEN]
|
(Last)
(First)
(Middle)
3 FORBES ROAD
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Strategy Officer /
|
(Street)
LEXINGTON, MA 02421
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock
|
19849
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option, right to buy
|
4/13/2016
(1)
|
5/1/2025
|
Common Stock
|
85000
|
$6.85
|
D
|
|
Stock Option, right to buy
|
3/31/2017
(2)
|
3/31/2026
|
Common Stock
|
50000
|
$4.16
|
D
|
|
Stock Option, right to buy
|
3/31/2018
(3)
|
3/31/2027
|
Common Stock
|
60000
|
$3.77
|
D
|
|
Stock Option, right to buy
|
3/2/2019
(4)
|
3/2/2028
|
Common Stock
|
100000
|
$5.65
|
D
|
|
Explanation of Responses:
|
(1)
|
Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests in four equal annual installments beginning April 13, 2016.
|
(2)
|
Options awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Plan and vests in three years with one-third vested on March 31, 2017 and the balance in equal quarterly installments.
|
(3)
|
Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan and vests on-third on the one-year anniversary of the grant date, March 31, 2017, with the balance vesting in equal quarterly installments thereafter.
|
(4)
|
Options was granted on March 2, 2018 subject to shareholder approval, which was obtained at the Company's annual shareholder meeting on June 20, 2018. Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan, and vests over three years with one-third of the award vesting on March 2, 2019 and the balance vesting in equal quarterly installments thereafter.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Cortis Christian
3 FORBES ROAD
LEXINGTON, MA 02421
|
|
|
Chief Strategy Officer
|
|
Signatures
|
Christine M. Klaskin, by Power of Attorney
|
|
6/22/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Agenus (NASDAQ:AGEN)
Historical Stock Chart
From Feb 2024 to Mar 2024
Agenus (NASDAQ:AGEN)
Historical Stock Chart
From Mar 2023 to Mar 2024