Soon-Shiong Patrick's Form 4 filing
ImmunityBio, Inc. (IBRX) · filed Sep 13, 2023
- Accession no.
- 0000950170-23-048020
- Filed
- Sep 13, 2023, 9:07 PM ET
- Trade date
- Sep 11, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 6 derivative transactions. 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 (See remarks), 10% Owner |
| California Capital Equity, LLCCIK 0001517764 | 10% Owner |
| MP 13 Ventures, LLCCIK 0001629186 | 10% Owner |
| Cambridge Equities, LPCIK 0001629222 | 10% Owner |
| Nant Capital, LLCCIK 0001675758 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 11, 2023 | Common Stock | JOtherAcquired | +129,127,017 | $1.29 | +$166,573,851.93 | 129,227,017 | Indirect | |
| Sep 11, 2023 | Common Stock | JOtherAcquired | +47,557,934 | $1.29 | +$61,349,734.86 | 47,557,934 | Indirect | |
| Sep 11, 2023 | Common Stock | JOtherAcquired | +32,606,985 | $1.29 | +$42,063,010.65 | 32,606,985 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 11, 2023 | Amended and Restated Convertible Promissory Note | JOtherDisposed | – | $0.00 | – | – | Indirect | |
| Sep 11, 2023 | Amended and Restated Convertible Promissory Note | JOtherDisposed | – | $0.00 | – | – | Indirect | |
| Sep 11, 2023 | Second Amended and Restated Convertible Promissory Note | JOtherDisposed | – | $0.00 | – | – | Indirect | |
| Sep 11, 2023 | Second Amended and Restated Convertible Promissory Note | JOtherDisposed | – | $0.00 | – | – | Indirect | |
| Sep 11, 2023 | Second Amended and Restated Convertible Promissory Note | JOtherDisposed | – | $0.00 | – | – | Indirect | |
| Sep 11, 2023 | Convertible Promissory Note | PPurchaseAcquired | – | $200,000,000.00 | – | – | Indirect | Price outlier |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.