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AGENUS INC — Director's Dealing 2011
Jan 5, 2011
34023_dirs_2011-01-05_93e90dc2-6dee-4477-9e23-dfc29615a982.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ANTIGENICS INC /DE/ (AGEN)
CIK: 0001098972
Period of Report: 2011-01-03
Reporting Person: ARMEN GARO H (Chairman & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-01-03 | Common Stock | J | 11607 | $0.95 | Acquired | 2268907 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-01-04 | Stock Option, right to buy | $1.05 | A | 489928 | Acquired | 2021-01-04 | Common Stock (489928) | Direct |
| 2011-01-04 | Restricted Stock | $ | A | 201095 | Acquired | 2013-07-04 | Common Stock (201095) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5475372 | Indirect |
Footnotes
F1: Represents the issuance of stock for payment of 30% of Dr. Armen's base salary for the month of December 2010.
F2: Dr. Armen is trustee and has investment authority for the Garo Armen 2009 2 year GRAT and the Garo Armen 2009 4 year GRAT, each holding 1,607,183 and 2,336,246 shares of Antigenics Inc. common stock, respectively. Dr. Armen disclaims beneficial ownership therein. Dr. Armen is the General Partner of Armen Partners LP. As of the date of this report Armen Partners owns a total of 1,507,667 shares of Antigenics Inc. common stock. Dr. Armen is also CEO, Chairman of the Board of Managers and a member of Antigenics Holdings LLC ("Holdings") which as of the date of this report owns 24,276 shares of Antigenics Inc. common stock. Dr. Armen has a pecuniary interest in only a portion of the shares held by Armen Partners and Holdings, and disclaims beneficial ownership except to the extent of his pecuniary interest therein.
F3: Options granted in accordance with the Antigenics Inc. 2009 Equity Incentive Plan and vest quarterly over three years beginning April 4, 2011.
F4: Restricted stock granted in accordance with the Antigenics Inc. 2009 Equity Incentive Plan and vests based on the achievement of performance milestones as determined by the Compensation Committee of the Board of Directors of Antigenics Inc.