SEC Form 4 · accession 0001209191-16-126859
JAKKS PACIFIC INC · JAKK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 7, 2016
Accepted (ET)
Jun 9, 2016 · 4:59 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 | Jun 7, 2016 | S | 30,399 | $7.681 | D | 2,930,655 | I | Through California Capital Z |
| Common StockF3,F2 | Jun 8, 2016 | S | 19,944 | $7.826 | D | 2,910,711 | I | Through California Capital Z |
| 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF4 | $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 price per share. These shares were sold in multiple transactions at prices ranging from $7.59 to $7.74, inclusive. Each of Dr. Patrick Soon-Shiong and California Capital Z, LLC ("California Capital Z") 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. Patrick Soon-Shiong is the sole member of California Capital Z.
- F3These shares of common stock were sold on the open market. The price reported in Column 4 is a weighted average price per share. These shares were sold in multiple transactions at prices ranging from $7.74 to $7.88, inclusive. Each of Dr. Patrick Soon-Shiong and California Capital Z undertakes to provide to 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.
- F4California Capital Equity, LLC is the sole member of NantWorks LLC. Dr. Patrick Soon-Shiong is the sole member of California Capital Equity, LLC.