SEC Form 4 · accession 0000899243-17-004969
Sorrento Therapeutics, Inc. · SRNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Ji
Officer — President and CEO · Director
Period of report
Feb 22, 2017
Accepted (ET)
Feb 22, 2017 · 5:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000850261
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 22, 2017 | P | 2,000 | $5.60 | A | 39,776 | D | |
| Common StockF1 | holding | — | — | — | 67,931 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 2,053,162 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares are held by an entity of which the Reporting Person and his spouse are the sole members and managing directors.
- F2Shares are held in family trust, of which the Reporting Person is a co-trustee with his wife.