SEC Form 4 · accession 0001209191-16-109304
ImmunityBio, Inc. · IBRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Kusserow
Director
Period of report
Jan 28, 2016
Accepted (ET)
Mar 17, 2016 · 7:42 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 | Jan 28, 2016 | M | 92,581 | $0.2161 | A | 339,442 | D | |
| Common Stock | Feb 28, 2016 | M | 15,429 | $0.2161 | A | 354,871 | D |
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)F1 | $0.2161 | Jan 28, 2016 | M | 92,581 | D | — | Mar 17, 2024 | Common Stock | 92,581 | 30,858 | D |
| Stock Option (right to buy)F1 | $0.2161 | Feb 28, 2016 | M | 15,429 | D | — | Mar 17, 2024 | Common Stock | 15,429 | 15,429 | D |
Explanation of responses
- F1Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is March 17, 2014.