SEC Form 4 · accession 0001209191-16-128029
JAKKS PACIFIC INC · JAKK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 13, 2016
Accepted (ET)
Jun 15, 2016 · 5:29 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 13, 2016 | S | 8,100 | $7.915 | D | 2,814,005 | I | Through California Capital Z |
| Common StockF3,F2 | Jun 14, 2016 | S | 25,011 | $7.771 | D | 2,788,994 | 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 $7.900 to $7.960, 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 $7.730 to $7.810, 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.
Remarks
This Form 4 shall not be deemed to be an admission by any reporting person hereunder that it or he is the beneficial owner, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended (the "Exchange Act"), for purposes of Section 13 of the Exchange Act, or for any other purpose, of any of the securities reported herein. Without limiting the immediately preceding sentence, each reporting person hereunder expressly disclaims beneficial ownership, for purposes of Section 16 of the Exchange Act, of all securities reported herein, except to the extent of its or his pecuniary interest therein.