SEC Form 4/A · accession 0001144204-17-048372
Sorrento Therapeutics, Inc. · SRNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jaisim Shah
Director
Period of report
Sep 15, 2017
Accepted (ET)
Sep 18, 2017 · 6:14 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,F2 | $1.80 | Sep 15, 2017 | A | 35,000 | A | — | Sep 15, 2027 | Common Stock | 35,000 | 35,000 | D |
Explanation of responses
- F1This amended report on Form 4 is being filed to amend the Form 4 filed by the reporting person on September 15, 2017 to correct the exercise price, which was inadvertently reported as $1.75.
- F21/12 of the original number of shares subject to this option shall vest and become exercisable following each one month of service thereafter, subject to the reporting person's continued service on the issuer's board of directors on each such date.