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AGENUS INC — Director's Dealing 2017
Jul 7, 2017
34023_dirs_2017-07-07_2ce587b2-4ea0-4890-b5de-90634edd07a6.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: AGENUS INC (AGEN)
CIK: 0001098972
Period of Report: 2017-06-29
Reporting Person: Buell Jennifer (VP Research & External Affairs)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 24361 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option, right to buy | $3.68 | 2023-09-03 | Common Stock (32500) | Direct | |
| Restricted Stock Unit | $0 | 2017-09-03 | Common Stock (4375) | Direct | |
| Stock Option, right to buy | $3 | 2024-02-14 | Common Stock (100000) | Direct | |
| Stock Option, right to buy | $5.04 | 2025-02-12 | Common Stock (24500) | Direct | |
| Stock Option, right to buy | $5.04 | 2025-02-12 | Common Stock (10500) | Direct | |
| Restricted Stock Unit | $0 | 2019-03-31 | Common Stock (16000) | Direct | |
| Stock Option, right to buy | $4.16 | 2026-03-31 | Common Stock (100000) | Direct | |
| Stock Option, right to buy | $3.77 | 2027-03-31 | Common Stock (125000) | Direct |
Footnotes
F1: Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Plan vesting in 4 equal annual installments beginning September 3, 2014, the first anniversary of the grant date.
F2: Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Plan vesting in 12 quarterly installments from February 12, 2015, the date of grant.
F3: Award granted in accordance with the Agenus Inc. Amended and Restated 2009 Equity Plan and is eligible to vest in a single installment on March 31, 2019 based upon Company stock price performance. Amount shown reflects the target award. The ultimate award size can range between 50% and 150% of the target based on the actual average stock price achieved.
F4: Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Plan and vests over three years with one-third vested on March 31, 2017 and the balance in equal quarterly installments thereafter.
F5: Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Plan vesting one-third on the one-year anniversary of the grant date, March 31, 2017, with the balance vesting in equal quarterly installments thereafter.