Statement of Changes in Beneficial Ownership (4)
05 Januar 2022 - 09:24PM
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
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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
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| 1. Name
and Address of Reporting Person * WIINBERG ULF |
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)
1/3/2022
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|
(Street)
LEXINGTON, MA 02421
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 |
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 |
|
Deferred Stock Units |
(1) |
1/3/2022 |
|
A |
|
6391.991 |
|
(2) |
(2) |
Common Stock |
6391.991 |
(3) |
120689.584 |
D |
|
| Explanation of
Responses: |
| (1) |
Deferred Stock Units convert
to shares of Common Stock on a 1 for 1 basis. |
| (2) |
Acquired under the Agenus
Inc. Amended and Restated Directors' Deferred Compensation Plan, as
amended (the "Plan"). Deferred Stock Units represent an equal
amount of the Company's common stock to be distributed under the
terms of the Plan, typically once the director ceases to serve as a
director of the Company. |
| (3) |
$4.009 per Deferred Stock
Unit acquired on January 3, 2022. The price of each Deferred Stock
Unit acquired prior to January 3, 2022 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
Deferred Stock Unit was acquired pursuant to the Plan. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
WIINBERG ULF
C/O AGENUS INC.
3 FORBES ROAD
LEXINGTON, MA 02421 |
X |
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|
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Signatures
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/s/Christine Klaskin, as Attorney-in-Fact for Ulf
Wiinberg |
|
1/5/2022 |
| **Signature of Reporting
Person |
Date |
Agenus (NASDAQ:AGEN)
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