SEC Form 4 · accession 0001209191-15-068844
JAKKS PACIFIC INC · JAKK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 28, 2015
Accepted (ET)
Sep 1, 2015 · 4:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001009829
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 28, 2015 | S | 53,763 | $9.39 | D | 4,134,082 | I | Through California Capital |
| Common StockF1,F2 | Aug 31, 2015 | S | 13,132 | $9.75 | D | 4,120,950 | I | Through California Capital |
| Common Stock | holding | — | — | — | 239,622 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF3 | $16.2823 | holding | — | — | — | Sep 12, 2012 | Sep 12, 2017 | Common Stock | 1,500,000 | 1,500,000 | I |
Explanation of responses
- F1These shares of common stock were sold on the open market. The price reported in Column 4 is a weighted average sale price. Each of Dr. Patrick Soon-Shiong and California Capital Z, LLC ("California Capital") undertakes to provide to JAKKS Pacific, Inc. (the "Company"), any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were sold.
- F2Dr. Soon-Shiong is the sole member of California Capital.
- F3California Capital Equity, LLC is the sole member of NantWorks LLC. Dr. Soon-Shiong is the sole member of California Capital Equity, LLC.
Remarks
For the avoidance of doubt, the disclosure of any securities in this Form 4 shall not be construed as an admission of beneficial ownership for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, of any such securities.