SEC Form 4 · accession 0001209191-15-000407
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
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 8:28 am 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 StockF1 | Dec 31, 2014 | G | 15,000 | $10.07 | D | 2,053,162 | I | See Footnote |
| Common StockF1 | Jan 2, 2015 | G | 10,000 | $10.16 | D | 2,043,162 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares are held in family trusts, of which Dr. Ji is a co-trustee with his wife.