SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Azoy Alexander

(Last) (First) (Middle)
C/O ARCUS BIOSCIENCES, INC.
3928 POINT EDEN WAY

(Street)
HAYWARD CA 94545

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/09/2023
3. Issuer Name and Ticker or Trading Symbol
Arcus Biosciences, Inc. [ RCUS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Accounting Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 690 D
Common Stock 216(1) D
Common Stock 3,187(2) D
Common Stock 2,375(3) D
Common Stock 5,128(4) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) (5) 11/07/2030 Common Stock 87,500 $21.53 D
Stock Option (Right to Buy) (6) 03/07/2031 Common Stock 867 $31.49 D
Stock Option (Right to Buy) (7) 03/08/2032 Common Stock 8,500 $33.03 D
Stock Option (Right to Buy) (8) 01/22/2033 Common Stock 9,500 $22.02 D
Explanation of Responses:
1. Represents restricted stock units that were granted on March 8, 2021. The remaining RSUs will vest in two equal annual installments beginning December 15, 2023, subject to the Reporting Person's continued service to the Issuer through such vesting date.
2. Represents restricted stock units that were granted on March 8, 2022. The remaining RSUs will vest in three equal annual installments beginning December 15, 2023, subject to the Reporting Person's continued service to the Issuer through such vesting date.
3. Represents restricted stock units that were granted on December 15, 2022. The remaining RSUs will vest in two equal annual installments beginning December 15, 2023, subject to the Reporting Person's continued service to the Issuer through such vesting date.
4. Represents restricted stock units that were granted on January 23, 2023. The remaining RSUs will vest in four equal annual installments beginning December 15, 2023, subject to the Reporting Person's continued service to the Issuer through such vesting date.
5. This option was granted on November 9, 2020, with the total number of shares of common stock subject to this option vesting in 48 equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer through such vesting date. As of the date of this filing, 45,833 of the shares of common stock subject to this option were exercisable.
6. This option was granted on March 8, 2021, with the total number of shares of common stock subject to this option vesting in 48 equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer through such vesting date. As of the date of this filing, 470 of the shares of common stock subject to this option were exercisable.
7. This option was granted on March 8, 2022 with the total number of shares of common stock subject to this option vesting in 48 equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer through such vesting date. As of the date of this filing, 2,479 of the shares of common stock subject to this option were exercisable.
8. This option was granted on January 23, 2023, with the total number of shares of common stock subject to this option vesting in 48 equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer through such vesting date. As of the date of this filing, 396 of the shares of common stock subject to this option were exercisable.
Remarks:
/s/ Carolyn Tang, Attorney-in-Fact 03/10/2023
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.