Initial Statement of Beneficial Ownership (3)
08 Octubre 2015 - 3:33PM
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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THIRD ROCK VENTURES LP
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/7/2015
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3. Issuer Name
and
Ticker or Trading Symbol
CytomX Therapeutics, Inc. [CTMX]
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(Last)
(First)
(Middle)
29 NEWBURY STREET, 3RD FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
BOSTON, MA 02116
(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)
___ Form filed by One Reporting Person
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X
_ 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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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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Series B-1 Preferred Stock
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(1)
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(1)
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Common Stock
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8105314
(2)
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(1)
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D
(3)
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Series C Preferred Stock
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(4)
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(4)
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Common Stock
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565037
(2)
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(4)
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D
(3)
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Explanation of Responses:
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(
1)
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Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a one-for-one basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
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(
2)
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Amount reflects a 62.997-for-1 reverse stock split effected by the Issuer on October 2, 2015.
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(
3)
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The shares are directly held by Third Rock Ventures, L.P. ("TRV"). The general partner of TRV is Third Rock Ventures GP, L.P. ("TRV GP LP"). The general partner of TRV GP LP is TRV GP, LLC ("TRV GP LLC"). The individual managers of TRV GP LLC are Mark Levin ("Levin"), Kevin Starr ("Starr") and Dr. Robert Tepper ("Tepper") and, as such, each of TRV GP LP and TRV GP LLC, Levin, Starr and Tepper exercises shared voting and investment power over the shares held of record by TRV. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any.
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(
4)
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Each share of the Series C Preferred Stock is convertible into Common Stock on a one-for-one basis automatically upon the closing of the Issuer's initial public offering, and has no expiration 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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THIRD ROCK VENTURES LP
29 NEWBURY STREET, 3RD FLOOR
BOSTON, MA 02116
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X
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Third Rock Ventures GP, L.P.
29 NEWBURY STREET, 3RD FLOOR
BOSTON, MA 02116
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X
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TRV GP, LLC
29 NEWBURY STREET, 3RD FLOOR
BOSTON, MA 02116
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X
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LEVIN MARK J
29 NEWBURY STREET, 3RD FLOOR
BOSTON, MA 02116
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X
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STARR KEVIN P
29 NEWBURY STREET, 3RD FLOOR
BOSTON, MA 02116
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X
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TEPPER ROBERT I
29 NEWBURY STREET, 3RD FLOOR
BOSTON, MA 02116
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X
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Signatures
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/s/ Kevin Gillis, Chief Financial Officer of TRV GP, LLC, general partner of Third Rock Ventures GP, L.P., general partner of Third Rock Ventures, L.P.
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10/8/2015
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**
Signature of Reporting Person
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Date
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/s/ Kevin Gillis, Chief Financial Officer of TRV GP, LLC, general partner of Third Rock Ventures GP, L.P.
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10/8/2015
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**
Signature of Reporting Person
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Date
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/s/ Kevin Gillis, Chief Financial Officer of TRV GP, LLC
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10/8/2015
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**
Signature of Reporting Person
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Date
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/s/ Kevin Gillis by power of attorney for Mark Levin
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10/8/2015
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**
Signature of Reporting Person
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Date
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/s/ Kevin Gillis by power of attorney for Kevin Starr
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10/8/2015
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**
Signature of Reporting Person
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Date
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/s/ Kevin Gillis by power of attorney for Robert I. Tepper
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10/8/2015
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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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