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person · Reporting owner

SHANNON TIMOTHY M

Disclosed activity across 5 companies

Tapewire entity
112510
SEC CIK
0001207114

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ARVINAS, INC.ARVN · Entity 5355DirectorJune 16, 2022June 21, 2022
CytomX Therapeutics, Inc.CTMX · Entity 5124DirectorNovember 29, 2016December 01, 2016
IDEAYA Biosciences, Inc.IDYA · Entity 4069DirectorJune 07, 2023June 09, 2023
NextCure, Inc.NXTC · Entity 7461DirectorJune 13, 2019June 17, 2019
Rallybio CorpRLYB · Entity 6838DirectorJanuary 03, 2022January 06, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ARVINAS, INC.

Report date June 16, 2022 · Filed June 21, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $36.79 · Expires 2032-06-15Direct10,192 Reported balance After 2022-06-16 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-06-16 · Grant · Acquired 10,192 · Balance 10,192

F1: This option award was granted on June 16, 2022. The shares underlying the award shall vest in full on the earlier of June 16, 2023 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders.

Filing footnotes · ownership attribution and instrument terms

F1: This option award was granted on June 16, 2022. The shares underlying the award shall vest in full on the earlier of June 16, 2023 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders.

CytomX Therapeutics, Inc.

Report date November 29, 2016 · Filed December 01, 2016

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote3,244,381 Reported balance After 2016-11-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2016-11-29 · Sale · Disposed 22,086 · Balance 3,244,381

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.06 - $11.37, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Common StockSEC Table I · non-derivativeDirect448 Reported balance Holding disclosure · report date 2016-11-29 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 448

F3: Of these 448 shares of Common Stock, 180 of these shares of Common Stock were previously reported by the Reporting Person as indirectly beneficially owned. These shares became directly beneficially owned by the Reporting Person following pro rata distributions of shares on November 30, 2016 by Canaan IX L.P. and Canaan Partners IX LLC, which were exempt from Section 16 of the Exchange Act under Rule 16a-13.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.06 - $11.37, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: Of these 448 shares of Common Stock, 180 of these shares of Common Stock were previously reported by the Reporting Person as indirectly beneficially owned. These shares became directly beneficially owned by the Reporting Person following pro rata distributions of shares on November 30, 2016 by Canaan IX L.P. and Canaan Partners IX LLC, which were exempt from Section 16 of the Exchange Act under Rule 16a-13.

IDEAYA Biosciences, Inc.

Report date June 07, 2023 · Filed June 09, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.40 · Expires 2033-06-06Direct16,200 Reported balance After 2023-06-07 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-07 · Grant · Acquired 16,200 · Balance 16,200

F1: 100% of the shares subject to the option shall vest in full on the earlier of (i) the first anniversary of the date of grant and (ii) immediately prior to the Annual Meeting following the date of grant, subject to the Reporting Person continuing in service on the Board through such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: 100% of the shares subject to the option shall vest in full on the earlier of (i) the first anniversary of the date of grant and (ii) immediately prior to the Annual Meeting following the date of grant, subject to the Reporting Person continuing in service on the Board through such vesting date.

NextCure, Inc.

Report date June 13, 2019 · Filed June 17, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.57 · Expires 2029-06-12Direct22,000 Reported balance After 2019-06-13 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2019-06-13 · Grant · Acquired 22,000 · Balance 22,000

F1: The option vests in three equal annual installments beginning on June 13, 2020.

Filing footnotes · ownership attribution and instrument terms

F1: The option vests in three equal annual installments beginning on June 13, 2020.

Rallybio Corp

Report date January 03, 2022 · Filed January 06, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.38 · Expires 2032-01-03Direct6,041 Reported balance After 2022-01-03 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-01-03 · Grant · Acquired 6,041 · Balance 6,041

F1: The option vests as to the underlying shares of Common Stock in 12 equal installments, each on the last day of each month of calendar year 2022.

Filing footnotes · ownership attribution and instrument terms

F1: The option vests as to the underlying shares of Common Stock in 12 equal installments, each on the last day of each month of calendar year 2022.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 28, 2019 Filed May 28, 2019 16:56 UTC IDEAYA Biosciences, Inc. IDYA · Entity 4069 ConversionCommon Stock 1,658,164 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-19-012238 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,658,164

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.

F2 · shares: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.

F2 · price: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.

F1 · balance_after: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.

F3 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person is a manager and member of Canaan X. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 23, 2019 Filed May 28, 2019 17:17 UTC ARVINAS, INC. ARVN · Entity 5355 GrantStock Option (right to buy) · Derivative 12,923 $0.00 Strike: $22.06 $0.00
Disclosure

SEC source: 0000899243-19-014885 · doc4.xml · derivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionSeries B-1 Preferred Stock · Derivative 2,296,605 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · derivative · entry 9

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 285,867 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionSeries A-3 Preferred Stock · Derivative 5,861,455 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · derivative · entry 8

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 729,599 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionSeries A-2 Preferred Stock · Derivative 5,970,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · derivative · entry 7

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 743,110 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionSeries A-1 Preferred Stock · Derivative 3,582,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · derivative · entry 6

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 445,866 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 PurchaseCommon Stock 50,000 $15.00 $750,000.00
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · nonDerivative · entry 5

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,254,442

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionCommon Stock 285,867 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · nonDerivative · entry 4

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,204,442

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionCommon Stock 729,599 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · nonDerivative · entry 3

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,918,575

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionCommon Stock 743,110 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · nonDerivative · entry 2

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,188,976

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
May 13, 2019 Filed May 13, 2019 19:33 UTC NextCure, Inc. NXTC · Entity 7461 ConversionCommon Stock 445,866 Not disclosed Not disclosed
Disclosure

SEC source: 0001123292-19-000752 · edgar.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 445,866

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The reported securities are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. The Reporting Person, a manager and member of Canaan X, serves as the representative of the Canaan Entities on the Issuer's board of directors. The Reporting Person disclaims Section 16 beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest therein, if any, in such securities by virtue of the limited liability company interest he owns in Canaan X.

Read SEC document
March 28, 2019 Filed Apr 1, 2019 17:11 UTC ARVINAS, INC. ARVN · Entity 5355 PurchaseCommon Stock 3,500 $14.69 $51,409.75
Disclosure

SEC source: 0000899243-19-009401 · doc4.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,898

Read SEC document
October 01, 2018 Filed Oct 3, 2018 17:25 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionSeries C Preferred Stock · Derivative 2,209,833 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026078 · doc4.xml · derivative · entry 5

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 679,948 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: These shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 17:25 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionSeries B Preferred Stock · Derivative 4,462,837 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026078 · doc4.xml · derivative · entry 4

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,373,180 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: These shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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October 01, 2018 Filed Oct 3, 2018 17:25 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionSeries A Preferred Stock · Derivative 9,543,387 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026078 · doc4.xml · derivative · entry 3

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,936,426 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: These shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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October 01, 2018 Filed Oct 3, 2018 17:25 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionCommon Stock 4,989,554 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-026078 · doc4.xml · nonDerivative · entry 2

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,989,554

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: These shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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October 01, 2018 Filed Oct 3, 2018 17:25 UTC ARVINAS, INC. ARVN · Entity 5355 PurchaseCommon Stock 4,000 $16.00 $64,000.00
Disclosure

SEC source: 0000899243-18-026078 · doc4.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,398

F1 · shares: Reflects shares of the Issuer's Common Stock that were purchased in connection with the Issuer's initial public offering.

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November 29, 2016 Filed Dec 1, 2016 14:35 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 22,086 $11.18 $247,007.62
Disclosure

SEC source: 0001140361-16-088355 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,244,381

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.06 - $11.37, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 28, 2016 Filed Nov 28, 2016 17:50 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 20,840 $11.33 $236,142.21
Disclosure

SEC source: 0001140361-16-087978 · doc1.xml · nonDerivative · entry 3

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,666,467

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.11 - $11.69 inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 25, 2016 Filed Nov 28, 2016 17:50 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 6,729 $11.79 $79,340.97
Disclosure

SEC source: 0001140361-16-087978 · doc1.xml · nonDerivative · entry 2

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,687,307

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.67 - $12.07 inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 23, 2016 Filed Nov 28, 2016 17:50 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 10,890 $11.84 $128,921.27
Disclosure

SEC source: 0001140361-16-087978 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,694,036

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.3950 - $12.05, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 22, 2016 Filed Nov 22, 2016 19:01 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 42,550 $11.71 $498,077.54
Disclosure

SEC source: 0001140361-16-087649 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,704,926

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.56 - $11.90, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 21, 2016 Filed Nov 21, 2016 18:56 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 13,548 $11.72 $158,785.27
Disclosure

SEC source: 0001140361-16-087469 · doc1.xml · nonDerivative · entry 3

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,747,476

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.55 - $11.835, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 18, 2016 Filed Nov 21, 2016 18:56 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 12,805 $11.64 $149,084.77
Disclosure

SEC source: 0001140361-16-087469 · doc1.xml · nonDerivative · entry 2

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,761,024

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.48 - $11.73, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 17, 2016 Filed Nov 21, 2016 18:56 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 18,971 $11.50 $218,217.72
Disclosure

SEC source: 0001140361-16-087469 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,773,829

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.02 - $11.70, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 16, 2016 Filed Nov 16, 2016 19:33 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 18,517 $11.55 $213,952.82
Disclosure

SEC source: 0001140361-16-087008 · doc1.xml · nonDerivative · entry 2

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,792,800

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.24 - $11.85, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 15, 2016 Filed Nov 16, 2016 19:33 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 33,064 $11.48 $379,475.53
Disclosure

SEC source: 0001140361-16-087008 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,811,317

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.23 - $11.60, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 14, 2016 Filed Nov 14, 2016 17:41 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 23,744 $11.21 $266,056.27
Disclosure

SEC source: 0001140361-16-086602 · doc1.xml · nonDerivative · entry 3

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,844,381

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.37, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 11, 2016 Filed Nov 14, 2016 17:41 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 35,391 $11.20 $396,460.60
Disclosure

SEC source: 0001140361-16-086602 · doc1.xml · nonDerivative · entry 2

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,868,125

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.44, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 10, 2016 Filed Nov 14, 2016 17:41 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 27,135 $11.07 $300,389.88
Disclosure

SEC source: 0001140361-16-086602 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,903,516

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.24, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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November 09, 2016 Filed Nov 10, 2016 16:41 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 13,730 $11.03 $151,498.19
Disclosure

SEC source: 0001140361-16-085852 · doc1.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,930,651

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.15, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder 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.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. The Reporting Person is a non-managing member of Canaan Partners IX LLC, the general partner of Canaan IX L.P. The Reporting Person does not have voting, investment or dispositive power over any of the shares directly held by Canaan IX L.P. and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.