Filing Details
- Accession Number:
- 0001288123-15-000015
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-30 20:59:12
- Reporting Period:
- 2014-05-08
- Filing Date:
- 2015-04-30
- Accepted Time:
- 2015-04-30 20:59:12
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1098972 | Agenus Inc | AGEN | Biological Products, (No Disgnostic Substances) (2836) | 061562417 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1380178 | Shahzad Malik | Agenus Inc. 3 Forbes Road Lexington MA 02421 | Yes | No | No | 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 | 2014-05-08 | 111,289 | $3.00 | 1,107,377 | No | 4 | J | Indirect | see footnote |
Common Stock | Disposition | 2015-04-28 | 700,000 | $7.16 | 407,377 | No | 4 | S | Indirect | see footnote |
Common Stock | Disposition | 2015-04-29 | 407,377 | $7.02 | 0 | No | 4 | S | Indirect | see footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | J | Indirect | see footnote |
No | 4 | S | Indirect | see footnote |
No | 4 | S | Indirect | see footnote |
Footnotes
- On May 8, 2014, Agenus Inc. issued to Advent Venture Partners LLP ("Advent") and its affiliated entities, and not Dr. Malik in his individual capacity, 111,289 shares of common stock of Agenus Inc., as repayment for certain indebtedness owed by 4-Antibody-AG, a wholly-owned subsidiary of Agenus Inc., to Advent and its affiliated entities as former shareholders of 4-Antibody AG prior to Agenus Inc.'s acquisition of 4-Antibody AG in February 2014. Dr. Malik is a GP of Advent Venture Partners LLP and shares voting and investment power of the shares, and disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- Represents shares sold by Advent Venture Partners LLP and its affiliated entities, and not Dr. Malik in his individual capacity.