Soon-Shiong Patrick's Form 4 filing
NantHealth, Inc. (NHIQ) · filed Aug 30, 2023
- Accession no.
- 0000950170-23-045521
- Filed
- Aug 30, 2023, 5:26 PM ET
- Trade date
- Aug 28, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market purchases total $16.0M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Soon-Shiong PatrickCIK 0001189020 | Director, Officer (Chief Executive Officer), 10% Owner |
| California Capital Equity, LLCCIK 0001517764 | 10% Owner |
| Nant Capital, LLCCIK 0001675758 | 10% Owner |
| NantWorks, LLCCIK 0001675760 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 28, 2023 | Common Stock | PPurchaseAcquired | +15,384,616 | $0.39 | +$6,000,000.24 | 15,384,616 | Indirect | |
| Aug 28, 2023 | Common Stock | PPurchaseAcquired | +537,272 | $18.61F3 | +$9,999,975.1 | 15,921,888 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
$10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note.
Referenced by the price of 1 transaction in Table I.