CytomX Therapeutics, Inc. 10-Q

Item 5. Other Information. None of our directors or officers (as defined in Rule 16a-1 under the Exchange Act) adopted , modified or terminated a Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement during the quarter ended March 31, 2024, as such terms are defined under Item 408(a) of Regulation S-K, except as follows: On March 26, 2024 , Sean A. McCarthy , our Chief Executive Officer , terminated a Rule 10b5-1 trading arrangement intended to satisfy the affirmative defense of Rule 10b5-1(c) and originally adopted on June 01, 2023 , for the sale of up to 109,768 shares of the Company’s common stock until February 07, 2025 . 74 CytomX Therapeutics, Inc. Item 6. Exhibits Incorporated by Reference Exhibit Number Exhibit Description Form Date Number Filed Herewith 3.1 Amended and Restated Certificate of Incorporation. 8-K 10/19/2015 3.1 3.2 Certificate of Amendment to Amended and Restated Certificate of Incorporation of CytomX Therapeutics, Inc. 8-K 6/23/2020 3.1 3.3 Amended and Restated Bylaws of CytomX Therapeutics, Inc., effective March 20, 2024. 8-K 3/22/2024 3.1 4.1 Reference is made to Exhibits 3.1 through 3.2. 4.2 Specimen Common Stock Certificate S-1/A 9/28/2015 4.1 10.1†† Amendment No. 4 to the Collaboration and License Agreement, dated as of March 28, 2024, by and between CytomX Therapeutics, Inc. and Amgen, Inc. X 31.1 Certification of Chief Executive Principal required by Rule 13a-14(a) or Rule 15d-14(a). X 31.2 Certification of Chief Financial Principal required by Rule 13a-14(a) or Rule 15d-14(a). X 32.1* Certification of Chief Executive Officer required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. §1350). X 32.2* Certification of Chief Financial Officer required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. §1350). X 101.INS Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document X 101.SCH Inline XBRL Taxonomy Extension Schema Document. X 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document X 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document. X 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document. X 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document. X 104 Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) X †† Certain confidential portions of this exhibit have been omitted from this exhibit. * The certifications attached as Exhibit 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q are not deemed filed with the SEC and are not to be incorporated by reference into any filing of CytomX Therapeutics, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Form 10-Q, irrespective of any general incorporation language contained in such filing. 75 CytomX Therapeutics, Inc. SIGNA TURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. CytomX Therapeutics, Inc. Date: May 8, 2024 By: /s/ Sean A. McCarthy Sean A. McCarthy, D. Phil. Chief Executive Officer and Chairman (Principal Executive Officer) Date: May 8, 2024 By: /s/ Christopher W. Ogden Christopher W. Ogden Senior Vice President, Finance and Accounting (Principal Financial Officer and Principal Accounting Officer) 76