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AGEN Agenus Inc

11.78
3.48 (41.93%)
27 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Agenus Inc NASDAQ:AGEN NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  3.48 41.93% 11.78 11.78 11.79 12.23 8.45 8.55 3,367,261 00:50:44

Statement of Changes in Beneficial Ownership (4)

03/07/2021 12:34am

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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 *

Buell Jennifer
2. Issuer Name and Ticker or Trading Symbol

AGENUS INC [ AGEN ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
COO and President
(Last)          (First)          (Middle)

C/O AGENUS INC., 3 FORBES ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

6/15/2021
(Street)

LEXINGTON,, MA 02421
(City)        (State)        (Zip)
4. 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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock (1)6/30/2021  A  10597 A$5.49 127091 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option $3.18 6/15/2021  A   900000     (2)12/17/2030 Common Stock 900000 $0.00 900000 D  

Explanation of Responses:
(1) The stock issued is fully-vested on the date of issuance, but is subject to a 12-month lockup restriction.
(2) Option was granted on January 1, 2021, subject to shareholder approval of an increase to the available pool under the Company's 2019 Equity Incentive Plan ("2019 Plan"), which was obtained at the Company's annual shareholder meeting on June 15, 2021. Option awarded in accordance with the 2019 Plan. Option vests over a four-year period, with 1/3 of Option vesting on December 17, 2022, and the balance vesting in eight equal quarterly installments thereafter.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Buell Jennifer
C/O AGENUS INC.
3 FORBES ROAD
LEXINGTON,, MA 02421


COO and President

Signatures
/s/ Adam Krauss, as Attorney-in-Fact for Jennifer Buell7/2/2021
**Signature of Reporting PersonDate

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