0000899243-23-001330.txt : 20230109 0000899243-23-001330.hdr.sgml : 20230109 20230109180311 ACCESSION NUMBER: 0000899243-23-001330 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230105 FILED AS OF DATE: 20230109 DATE AS OF CHANGE: 20230109 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: 23519191 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 2023-01-05 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 2023-01-05 4 A 0 241383 2.45 A 1249167 D Common Stock 125969 I See Footnote Common Stock 579000 I See Footnote Stock Option 2.45 2023-01-05 4 A 0 2400000 0.00 A 2033-01-05 Common Stock 2400000 2400000 D Reflects the executive's 2022 performance bonus award paid in Agenus Stock. The stock issued is fully-vested on the date of issuance but is subject to a lockup restriction with 50% of the award released on March 24, 2023 and 50% of the award released on June 24, 2023. $2.45 was the fair market value of Agenus Common Stock on January 5, 2023, 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 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. Option was granted on January 5, 2023 and awarded in accordance with the 2019 Plan. Option vests over a three-year period, with one-third of the options vesting on the one-year anniversary of the grant date, with the remainder vesting in equal quarterly installments thereafter. /s/ Christine Klaskin, as attorney-in-fact for Garo H. Armen 2023-01-09