0000899243-21-014724.txt : 20210405 0000899243-21-014724.hdr.sgml : 20210405 20210405090033 ACCESSION NUMBER: 0000899243-21-014724 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210402 FILED AS OF DATE: 20210405 DATE AS OF CHANGE: 20210405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARMEN GARO H CENTRAL INDEX KEY: 0000935679 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29089 FILM NUMBER: 21803864 MAIL ADDRESS: STREET 1: 3 FORBES ROAD CITY: LEXINGTON STATE: MA ZIP: 02421 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AGENUS INC CENTRAL INDEX KEY: 0001098972 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 061562417 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3 FORBES ROAD CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: 781-674-4410 MAIL ADDRESS: STREET 1: 3 FORBES ROAD CITY: LEXINGTON STATE: MA ZIP: 02421 FORMER COMPANY: FORMER CONFORMED NAME: ANTIGENICS INC /DE/ DATE OF NAME CHANGE: 19991115 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-04-02 0 0001098972 AGENUS INC AGEN 0000935679 ARMEN GARO H C/O AGENUS INC. 3 FORBES ROAD LEXINGTON MA 02421 1 1 0 0 Chairman & CEO Common Stock 2021-04-02 4 A 0 135778 2.87 A 585700 D Common Stock 125969 I See Footnote Common Stock 700000 I See Footnote All Agenus employees were given the option to receive their 2020 bonus awards in cash or Agenus stock. Dr. Armen, Dr. Buell and Ms. Klaskin have all chosen to receive their entire 2020 bonus award in Agenus stock rather than cash. The stock issued is fully-vested on the date of issuance, but is subject to a 6-month lockup restriction. In addition, Dr. Armen continues to receive his base salary in Agenus stock rather than cash $2.87 is the fair market value of our Common Stock on April 2, 2021, the stock issuance date. Shares are held in Dr. Armen's IRA accounts. Dr. Armen is trustee and has investment authority for the Garo Armen 2020 2 Year AG GRAT holder of 600,000 shares of our Common Stock. Dr. Armen is a general partner in Pixie Partners, a General Partnership ("Pixie"), which as of the date of this report owns 100,000 shares of our Common Stock. Dr. Armen has a pecuniary interest in only a portion of the shares held by Pixie and disclaims beneficial ownership to the extent of his pecuniary interest therein. /s/Evan D. Kearns, as Attorney-in-Fact for Garo H. Armen 2021-04-05