SEC Form 4 · accession 0001209191-15-082042
JAKKS PACIFIC INC · JAKK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 20, 2015
Accepted (ET)
Nov 24, 2015 · 5:17 pm EST
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 | Nov 20, 2015 | S | 41,687 | $7.9983 | D | 4,079,263 | I | Through California Capital |
| Common StockF1,F2 | Nov 23, 2015 | S | 118,209 | $8.0041 | D | 3,961,054 | 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.