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CTMX CytomX Therapeutics Inc

1.22
0.03 (2.52%)
24 Aug 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
CytomX Therapeutics Inc NASDAQ:CTMX NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.03 2.52% 1.22 1.17 1.23 1.23 1.18 1.19 297,037 01:00:00

Form 4 - Statement of changes in beneficial ownership of securities

22/08/2024 11:01pm

Edgar (US Regulatory)


SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Landau Jeffrey B

(Last) (First) (Middle)
C/O CYTOMX THERAPEUTICS, INC.
151 OYSTER POINT BLVD., SUITE 400

(Street)
SOUTH SAN FRANCISCO CA 94080

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CytomX Therapeutics, Inc. [ CTMX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Business Officer
3. Date of Earliest Transaction (Month/Day/Year)
08/20/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 08/20/2024 M(1) 11,250 A $0 123,237(2)(3) D
Common Stock 08/20/2024 S(4) 4,181 D $1.2291 119,056(3) D
Common Stock 4,500 I Fidelity Traditional IRA
Common Stock 3,180 I Schwab ROTH IRA
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. 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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Performance Stock Units (PSUs) (5) 08/20/2024 M(1) 11,250 (5) (5) Common Stock 11,250 $0 0 D
Explanation of Responses:
1. Represents vesting of a Performance Stock Unit ("PSU") award initially granted on August 10, 2022.
2. Includes 1,927 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 31, 2024.
3. Includes 64,802 restricted stock units.
4. The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of PSUs reported herein.
5. Each PSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. 50% of the PSUs vested on December 17, 2023 upon achievement of a certain performance-based milestone. In connection with the vesting reported herein, the remaining 50% of the PSUs vested upon achievement of a certain performance-based milestone.
/s/ Lloyd Rowland, as Attorney-in-Fact for Jeffrey B Landau 08/22/2024
** 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 4 (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 Number.

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