Filing Details
- Accession Number:
- 0001209191-13-055661
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-06 14:14:16
- Reporting Period:
- 2013-12-06
- Filing Date:
- 2013-12-06
- Accepted Time:
- 2013-12-06 14:14:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1326732 | Xencor Inc | XNCR | Pharmaceutical Preparations (2834) | 201622502 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1034005 | Jr S John Stafford | 45 N. Green Bay Road Lake Forest IL 60045 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-12-06 | 1,367,651 | $0.00 | 1,367,741 | No | 4 | C | Indirect | By JSS, JR. 2013 XAT, a grantor retained annuity trust |
| Common Stock | Acquisiton | 2013-12-06 | 286,604 | $0.00 | 1,654,345 | No | 4 | C | Indirect | By the Kimberly Susan Stafford 2005 Irrevocable Trust |
| Common Stock | Acquisiton | 2013-12-06 | 71,098 | $0.00 | 1,725,443 | No | 4 | C | Indirect | By the Susan Yang Stafford Kimborama Trust |
| Common Stock | Acquisiton | 2013-12-06 | 275,000 | $5.50 | 2,000,443 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By JSS, JR. 2013 XAT, a grantor retained annuity trust |
| No | 4 | C | Indirect | By the Kimberly Susan Stafford 2005 Irrevocable Trust |
| No | 4 | C | Indirect | By the Susan Yang Stafford Kimborama Trust |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A-1 Preferred Stock | Disposition | 2013-12-06 | 4,239,720 | $0.00 | 1,367,651 | $0.00 |
| Common Stock | Series A-1 Preferred Stock | Disposition | 2013-12-06 | 888,474 | $0.00 | 286,604 | $0.00 |
| Common Stock | Series A-1 Preferred Stock | Disposition | 2013-12-06 | 220,406 | $0.00 | 71,098 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Every 3.1 shares of the Series A-1 Preferred Stock is convertible into 1 share of the Issuer's Common Stock at any time, at the holder's election, and has no expiration date.
- The shares were purchased at the Issuer's initial public offering.
Billionaire Hedge Funds
