Initial Statement of Beneficial Ownership (3)
May 18 2017 - 7:29PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
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1. Name and Address of Reporting Person
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RAY DEBANJAN
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/15/2017
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3. Issuer Name
and
Ticker or Trading Symbol
CytomX Therapeutics, Inc. [CTMX]
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(Last)
(First)
(Middle)
C/O CYTOMX THERAPEUTICS, INC., 151 OYSTER POINT BLVD., SUITE 400
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer /
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(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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21928
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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(1)
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9/13/2021
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Common Stock
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34485
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$1.1339
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D
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Stock Option (Right to Buy)
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(2)
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12/10/2023
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Common Stock
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33225
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$1.2599
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D
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Stock Option (Right to Buy)
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(3)
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2/27/2024
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Common Stock
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19510
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$1.4489
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D
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Stock Option (Right to Buy)
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(4)
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5/6/2025
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Common Stock
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30640
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$4.4728
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D
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Stock Option (Right to Buy)
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(5)
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7/20/2025
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Common Stock
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85938
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$6.6147
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D
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Stock Option (Right to Buy)
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(6)
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8/25/2025
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Common Stock
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41090
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$6.6147
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D
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Stock Option (Right to Buy)
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(7)
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1/20/2026
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Common Stock
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45000
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$14.46
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D
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Stock Option (Right to Buy)
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(8)
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1/24/2027
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Common Stock
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97500
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$11.94
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D
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Stock Option (Right to Buy)
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(9)
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5/12/2027
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Common Stock
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30000
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$14.62
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D
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Explanation of Responses:
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(1)
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100% of the shares subject to the option are fully vested and exercisable.
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(2)
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This option vests in 48 substantially equal monthly installments starting on July 31, 2013, with each additional installment vesting on the last day of each month thereafter, subject to the Reporting Person's continued service to the Issuer through each such date.
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(3)
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This option vests in 48 substantially equal monthly installments starting on February 28, 2014, with each additional installment vesting on the last day of each month thereafter, subject to the Reporting Person's continued service to the Issuer through each such date.
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(4)
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This option vests in 48 substantially equal monthly installments starting on January 31, 2015, with each additional installment vesting on the last day of each month thereafter, subject to the Reporting Person's continued service to the Issuer through each such date.
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(5)
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This option vests in 48 substantially equal monthly installments starting on July 1, 2015, with each additional installment vesting on the last day of each month thereafter, subject to the Reporting Person's continued service to the Issuer through each such date.
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(6)
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This option vests in 48 substantially equal monthly installments starting on August 28, 2015, with each additional installment vesting on the last day of each month thereafter, subject to the Reporting Person's continued service to the Issuer through each such date.
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(7)
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1/48th of the shares subject to the option vest on each monthly anniversary measured from January 1, 2016 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service to the Issuer through each such date.
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(8)
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1/48th of the shares subject to the option vest on each monthly anniversary measured from January 1, 2017 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service to the Issuer through each such date.
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(9)
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This option vests in 48 substantially equal monthly installments starting on May 15, 2017, subject to the Reporting Person's continued service to the Issuer through each such date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RAY DEBANJAN
C/O CYTOMX THERAPEUTICS, INC.
151 OYSTER POINT BLVD., SUITE 400
SOUTH SAN FRANCISCO, CA 94080
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Chief Financial Officer
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Signatures
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/s/ Cynthia J. Ladd, as Attorney-in-Fact for Debanjan Ray
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5/18/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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