Janda Kim's Form 4 filing
Sorrento Therapeutics, Inc. (SRNE) · filed Sep 28, 2021
- Accession no.
- 0001209191-21-057957
- Filed
- Sep 28, 2021
- Trade date
- Sep 27, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $339.7K. It was filed 1 day 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 |
|---|---|
| Janda KimCIK 0001518466 | Director |
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 27, 2021 | Common Stock | MOption exerciseAcquired | +35,000 | $1.80 | +$63,000 | 38,000 | Direct | |
| Sep 27, 2021 | Common Stock | MOption exerciseAcquired | +7,357 | $3.57 | +$26,264.49 | 45,357 | Direct | |
| Sep 27, 2021 | Common Stock | SSaleDisposed | −42,357 | $8.02F2 | −$339,703.14 | 3,000 | Direct |
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 27, 2021 | Common Stock | MOption exerciseDisposed | −35,000 | $0.00 | $0 | 0 | Direct | |
| Sep 27, 2021 | Common Stock | MOption exerciseDisposed | −7,357 | $0.00 | $0 | 27,643 | Direct |
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.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.03, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.
Referenced by the price of 1 transaction in Table I.