SEC Form 4 · accession 0001209191-17-001159
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
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 5:11 pm EST
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 StockF2 | Dec 30, 2016 | G | 450,000 | $0.00 | D | 40,556,557 | I | See footnote |
| Common StockF3 | holding | — | — | — | 5,618,326 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 600,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares transferred for no value by Cambridge Equities, LP to the Chan Soon-Shiong NantHealth Foundation, a 501(c)(3) non-profit Delaware corporation.
- 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.
- F3Shares held by the Chan Soon-Shiong Family Foundation, an exempt corporation organized under the laws of the State of Delaware (the "Foundation"). The Foundation has the sole power to vote and direct the disposition of all shares directly owned by the Foundation, except to the extent it may be deemed to share such power with the reporting person by virtue of the reporting person's control over the Foundation. The reporting person serves as Chairman of the Foundation.
- F4Each 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 vested on July 27, 2016.