Filing Details

Accession Number:
0000899243-21-035844
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-14 17:30:36
Reporting Period:
2021-09-13
Accepted Time:
2021-09-14 17:30:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1098972 Agenus Inc AGEN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
935679 H Garo Armen C/O Agenus Inc.
3 Forbes Road
Lexington MA 02421
Chairman And Ceo Yes Yes 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 2021-09-13 119,178 $3.36 852,880 No 4 M Direct
Common Stock Disposition 2021-09-13 82,107 $6.50 770,773 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option, right to buy Disposition 2021-09-13 119,178 $0.00 119,178 $3.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2011-12-14 2021-09-14 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 125,969 Indirect See Footnote
Common Stock 579,000 Indirect See Footnote
Footnotes
  1. The options subject to the transaction reported on this Form 4 would have expired on September 14, 2021.
  2. Shares are held in Dr. Armen's IRA accounts.
  3. Dr. Armen is trustee and has investment authority for the Garo Armen 2020 2 Year AG GRAT holder of 479,000 shares of our Common Stock. Dr. Armen is a general partner in Pixie Partners, a General Partnership ("Pixie"), which as of the date of this report owns 100,000 shares of our Common Stock. Dr. Armen has a pecuniary interest in only a portion of the shares held by Pixie and disclaims beneficial ownership to the extent of his pecuniary interest therein.
  4. Represents sales of shares, as a consequence of the exercise of options, to cover Federal, state and local tax withholding requirements and the exercise price payment related to the option exercise. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.44 to $6.55. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.