Statement of Changes in Beneficial Ownership (4)
03 Juli 2021 - 01:32AM
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 |
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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 * Hirsch Susan B |
2. Issuer Name and Ticker or Trading
Symbol AGENUS INC [ AGEN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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|
(Last)
(First)
(Middle)
C/O AGENUS INC., 3 FORBES ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/15/2021
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|
(Street)
LEXINGTON, MA 02421
(City)
(State)
(Zip)
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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) |
7/1/2021 |
|
A |
|
4908 |
A |
$3.82 (2) |
13637 |
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
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. 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 Date |
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 of Derivative Security: 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 |
|
Stock Option |
$3.18 |
6/15/2021 |
|
A |
|
100000 |
|
(3) |
12/17/2030 |
Common Stock |
100000 |
$0.00 |
100000 |
D |
|
| Explanation of
Responses: |
| (1) |
Acquired under the Agenus
Inc. Board Compensation Election Policy pursuant to which a
director may elect to receive her director fees in shares of
Agenus' common stock. |
| (2) |
$3.820 is the is the average
of the closing price for the Company's common stock for all trading
days during the calendar quarter immediately preceding the date
such shares were issued. |
| (3) |
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 in full on December 17,
2022. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Hirsch Susan B
C/O AGENUS INC.
3 FORBES ROAD
LEXINGTON, MA 02421 |
X |
|
|
|
Signatures
|
|
/s/ Adam Krauss, as Attorney-in-Fact for Susan B.
Hirsch |
|
7/2/2021 |
| **Signature of Reporting
Person |
Date |
Agenus (NASDAQ:AGEN)
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Agenus (NASDAQ:AGEN)
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