Ji Henry's Form 4 filing
Sorrento Therapeutics, Inc. (SRNE) · filed Sep 7, 2022
- Accession no.
- 0001209191-22-049065
- Filed
- Sep 7, 2022
- Trade date
- Sep 7, 2022
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 2 derivative transactions. Open-market purchases total $179.6K. It was filed on the trade date.
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 |
|---|---|
| Ji HenryCIK 0001470981 | Director, Officer (See Remarks) |
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 7, 2022 | Common Stock | PPurchaseAcquired | +88,888 | $2.02F1 | +$179,553.76 | 4,765,805 | 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 7, 2022 | Common Stock | PPurchaseAcquired | +75,900 | $40.66 | +$30,860.94 | 759 | Indirect | |
| Sep 7, 2022 | Common Stock | PPurchaseAcquired | +12,900 | $41.66 | +$5,374.14 | 129 | 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.
- F1
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.01 to $2.02, 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 at each separate price.
Referenced by the price of 1 transaction in Table I.
Remarks
President, CEO and Chairman of the Board of Directors