SEC Form 4 · accession 0001209191-16-142963
ImmunityBio, Inc. · IBRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J. Tajak
Officer — Chief Financial Officer
Period of report
Sep 23, 2016
Accepted (ET)
Sep 27, 2016 · 7:37 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 | Sep 23, 2016 | M | 5,000 | $0.00 | A | 8,292 | D | |
| Common Stock | Sep 23, 2016 | F | 1,717 | $7.91 | D | 6,575 | 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 | — | Sep 23, 2016 | M | 5,000 | D | — | — | Common Stock | 5,000 | 10,000 | 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: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016.