Soon-Shiong Patrick's Form 4 filing
ImmunityBio, Inc. (IBRX) · filed Nov 8, 2022
- Accession no.
- 0001326110-22-000070
- Filed
- Nov 8, 2022, 4:01 PM ET
- Trade date
- Aug 31, 2022
- Filing delay
- 69 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 0 non-derivative transactions and 6 derivative transactions. It was filed 69 days after the trade, past the 2-business-day deadline.
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 |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2022 | Amended and Restated Convertible Promissory Note | PPurchaseAcquired | – | $40,407,671.00 | – | – | Indirect | Price outlier |
| Aug 31, 2022 | Amended and Restated Convertible Promissory Note | PPurchaseAcquired | – | $55,927,342.00 | – | – | Indirect | Price outlier |
| Aug 31, 2022 | Second Amended and Restated Convertible Promissory Note | PPurchaseAcquired | – | $63,375,911.00 | – | – | Indirect | Price outlier |
| Aug 31, 2022 | Second Amended and Restated Convertible Promissory Note | PPurchaseAcquired | – | $55,844,638.00 | – | – | Indirect | Price outlier |
| Aug 31, 2022 | Second Amended and Restated Convertible Promissory Note | PPurchaseAcquired | – | $59,524,425.00 | – | – | Indirect | Price outlier |
| Aug 31, 2022 | Second Amended and Restated Convertible Promissory Note | PPurchaseAcquired | – | $40,016,261.00 | – | – | 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.