0000899243-21-035844.txt : 20210914 0000899243-21-035844.hdr.sgml : 20210914 20210914173036 ACCESSION NUMBER: 0000899243-21-035844 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210913 FILED AS OF DATE: 20210914 DATE AS OF CHANGE: 20210914 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: 211253301 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 2021-09-13 0 0001098972 AGENUS INC AGEN 0000935679 ARMEN GARO H C/O AGENUS INC. 3 FORBES ROAD LEXINGTON MA 02421 1 1 0 0 Chairman and CEO Common Stock 2021-09-13 4 M 0 119178 3.36 A 852880 D Common Stock 2021-09-13 4 S 0 82107 6.50 D 770773 D Common Stock 125969 I See Footnote Common Stock 579000 I See Footnote Stock Option, right to buy 3.36 2021-09-13 4 M 0 119178 0.00 D 2011-12-14 2021-09-14 Common Stock 119178 0 D The options subject to the transaction reported on this Form 4 would have expired on September 14, 2021. 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 479,000 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. Represents sales of shares, as a consequence of the exercise of options, to cover Federal, state and local tax withholding requirements and the exercise price payment related to the option exercise. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.44 to $6.55. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ Garo H. Armen 2021-09-14