SEC Form 4 · accession 0001209191-15-063804
ImmunityBio, Inc. · IBRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Patrick Soon-Shiong
Officer — Chairman and CEO · Director · 10% Owner
MP 13 Ventures, LLC
10% Owner
Cambridge Equities, LP
10% Owner
Period of report
Jul 27, 2015
Accepted (ET)
Aug 4, 2015 · 6:47 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 StockF1 | Jul 27, 2015 | A | 600,000 | $0.00 | A | 600,000 | D | |
| Common StockF2 | holding | — | — | — | 40,566,557 | 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)F3 | $25.00 | Jul 27, 2015 | A | 900,000 | A | — | Jul 27, 2025 | Common Stock | 900,000 | 900,000 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the RSUs will vest as follows: 50% of the RSUs vested on the July 27, 2015, and 50% of the RSUs will vest on July 27, 2016.
- F2Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities.
- F3Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option will vest as follows: 50% of the shares subject to the option vested and became exercisable on the July 27, 2015, and 50% of the shares subject to the option shall vest and become exercisable on July 27, 2016.