SEC Form 4 · accession 0001209191-16-134331
ImmunityBio, Inc. · IBRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry J. Simon
Officer — President and COO · Director
Period of report
Jul 27, 2016
Accepted (ET)
Jul 28, 2016 · 5:38 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, 2016 | M | 185,150 | $0.00 | A | 3,444,228 | D | |
| Common Stock | Jul 27, 2016 | F | 79,322 | $6.89 | D | 3,364,906 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jul 27, 2016 | M | 185,150 | D | — | — | Common Stock | 185,150 | 0 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock.
- F2Subject 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 restricted stock units ("RSUs") will vest as follows: 50% of the RSUs vested on July 27, 2015, and 50% of the RSUs will vest on July 27, 2016.