SEC Form 4 · accession 0001144204-17-048370
Sorrento Therapeutics, Inc. · SRNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dean Ferrigno
Officer — Chief Accounting Officer
Period of report
Sep 14, 2017
Accepted (ET)
Sep 18, 2017 · 6:11 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000850261
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $1.80 | Sep 14, 2017 | A | 25,000 | A | — | Sep 14, 2027 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F11/4 of the original number of shares subject to the option shall vest on September 14, 2018 and 1/48 of the original number of shares subject to the option shall vest following each one month period of service after September 14, 2018, subject to the Reporting Person's continued service to the Issuer through each such vesting date.