06/17/2025 | Press release | Distributed by Public on 06/17/2025 14:09
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Stock Units | (5) | 06/13/2025 | M | 150,000 | (5) | (5) | Common Stock | 150,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McCarthy Sean A. C/O CYTOMX THERAPEUTICS, INC. 151 OYSTER POINT BLVD., STE. 400 SOUTH SAN FRANCISCO, CA 94080 |
X | CEO |
/s/ Lloyd Rowland, as Attorney-in-Fact for Sean A. McCarthy | 06/17/2025 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This transaction represents the vesting of performance stock units ("PSUs") initially granted on February 2, 2023. |
(2) | Includes 488,750 restricted stock units. |
(3) | The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of PSUs. |
(4) | Shares held by Sean A. McCarthy 2018 Trust, of which the Reporting Person is trustee. |
(5) | Each PSU represented a contingent right to receive one (1) share of common stock upon vesting. |