SEC Form 3 · accession 0000899243-15-001758
ImmunityBio, Inc. · IBRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Ji
Director
Period of report
Jul 27, 2015
Accepted (ET)
Jul 27, 2015 · 5:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001326110
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001 per shareF1 | holding | — | — | — | 776,535 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $1.9984 | holding | — | — | — | — | Jan 16, 2025 | Common Stock | 370,300 | — | D |
| Stock Option (Right to Buy)F3,F2 | $1.9984 | holding | — | — | — | — | Feb 16, 2025 | Common Stock | 481,390 | — | I |
Explanation of responses
- F1Represents shares held by an entity of which the Reporting Person's spouse is the sole managing member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F2One twenty-fourth of the shares subject to the option shall vest on the date that is one month from January 16, 2015 and an additional one twenty-fourth shall vest on the same day of each subsequent month, in each case subject to the Reporting Person's continued status as a service provider with the Issuer.
- F3The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.