JAKKS Pacific Inc. (NASDAQ:JAKK) is the subject of a new 13D filing issued by Dr. Patrick Soon-Shiong’s California Capital, which reveals that on March 3, 2016, the investment firm sold 1,000,000 shares of Common Stock on the open market for $7.45 per share. The sale comes just days after several JAKKS’ insiders purchased shares. You can see the full details of the latest filing below.
You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Dr. Patrick Soon-Shiong | 239,622 | 4,461,054 | 239,622 | 4,461,054 | 4,700,676 | 19.7% |
| California Capital Z | 2,961,054 | 2,961,054 | 2,961,054 | 13.2% | ||
| California Capital Equity | 1,500,000 | 1,500,000 | 1,500,000 | 6.3% | ||
| NantWorks | 1,500,000 | 1,500,000 | 1,500,000 | 6.3% |
Page 1 of 8 SEC Filing
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE
13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 6)
JAKKS
PACIFIC, INC.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
47012E106
(CUSIP Number)
California Capital Z, LLC
9922 Jefferson Boulevard
Culver City, California 90232
(310) 836-6400
(Name,
Address and Telephone Number of Person Authorized to Receive Notices and Communications)
March 3, 2016
(Date of Event Which Requires Filing of this Statement)
If the filing
person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ¨
Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for
other parties to whom copies are to be sent.
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Page 2 of 8 SEC Filing
SCHEDULE 13D/A
| CUSIP No. 47012E106 | PAGE 2 OF 8 PAGES |
| 1 | NAME OF I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dr. Patrick Soon-Shiong | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER (a) ¨ (b) x | |||||
| 3 | SEC USE ONLY | |||||
| 4 | SOURCE OF FUNDS* OO, PF, AF (See Item 3) | |||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL | |||||
| 6 | CITIZENSHIP OR PLACE OF United States | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 239,622 (See Item 5) | ||||
| 8 | SHARED VOTING POWER 4,461,054 shares (See Item 5) | |||||
| 9 | SOLE DISPOSITIVE POWER 239,622 (See Item 5) | |||||
| 10 | SHARED DISPOSITIVE POWER 4,461,054 shares (See Item 5) | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,700,676 shares (See Item 5) | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN Not applicable | |||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT 19.7% (See Item 5) | |||||
| 14. | TYPE OF REPORTING PERSON* IN | |||||
| * | See Instructions |
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Page 3 of 8 SEC Filing
SCHEDULE 13D/A
| CUSIP No. 47012E106 | PAGE 3 OF 8 PAGES |
| 1 | NAME OF I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) California Capital Z, LLC | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER (a) ¨ (b) x | |||||
| 3 | SEC USE ONLY | |||||
| 4 | SOURCE OF FUNDS* WC, AF (See Item 3) | |||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL | |||||
| 6 | CITIZENSHIP OR PLACE OF California | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER None (See Item 5) | ||||
| 8 | SHARED VOTING POWER 2,961,054 shares (See Item 5) | |||||
| 9 | SOLE DISPOSITIVE POWER None (See Item 5) | |||||
| 10 | SHARED DISPOSITIVE POWER 2,961,054 shares (See Item 5) | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,961,054 shares (See Item 5) | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN | |||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT 13.2% (See Item 5) | |||||
| 14. | TYPE OF REPORTING PERSON* OO limited liability company | |||||
| * | See Instructions |
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Page 4 of 8 SEC Filing
SCHEDULE 13D/A
| CUSIP No. 47012E106 | PAGE 4 OF 8 PAGES |
| 1 | NAME OF I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) California Capital Equity, LLC | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER (a) ¨ (b) x | |||||
| 3 | SEC USE ONLY | |||||
| 4 | SOURCE OF FUNDS* WC (See Item 3) | |||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL | |||||
| 6 | CITIZENSHIP OR PLACE OF Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER None (See Item 5) | ||||
| 8 | SHARED VOTING POWER 1,500,000 shares (See Item 5) | |||||
| 9 | SOLE DISPOSITIVE POWER None (See Item 5) | |||||
| 10 | SHARED DISPOSITIVE POWER 1,500,000 shares (See Item 5) | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,500,000 shares (See Item 5) | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN | |||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT 6.3% (See Item 5) | |||||
| 14. | TYPE OF REPORTING PERSON* OO limited liability company | |||||
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Page 5 of 8 SEC Filing
SCHEDULE 13D/A
| CUSIP No. 47012E106 | PAGE 5 OF 8 PAGES |
| 1 | NAME OF I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) NantWorks LLC | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER (a) ¨ (b) x | |||||
| 3 | SEC USE ONLY | |||||
| 4 | SOURCE OF FUNDS* WC (See Item 3) | |||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL | |||||
| 6 | CITIZENSHIP OR PLACE OF Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER None (See Item 5) | ||||
| 8 | SHARED VOTING POWER 1,500,000 shares (See Item 5) | |||||
| 9 | SOLE DISPOSITIVE POWER None (See Item 5) | |||||
| 10 | SHARED DISPOSITIVE POWER 1,500,000 shares (See Item 5) | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,500,000 shares (See Item 5) | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN | |||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT 6.3% (See Item 5) | |||||
| 14. | TYPE OF REPORTING PERSON* OO limited liability company | |||||
| * | See Instructions |
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Page 6 of 8 SEC Filing
SCHEDULE 13D/A
| CUSIP No. 47012E106 | PAGE 6 OF 8 PAGES |
This Amendment No. 6 amends the Schedule 13D filed with the Securities and Exchange
Commission (the SEC), on October 15, 2012, by California Capital Z, LLC, a limited liability company (California Capital), and Dr. Patrick Soon-Shiong with respect to the common stock, par value $0.001
per share (Common Stock), of JAKKS Pacific, Inc., a Delaware corporation (the Company), as amended by (i) Amendment No. 1 thereto, filed with the SEC on April 9, 2013, (ii) Amendment
No. 2 thereto, filed with the SEC on April 10, 2013, (iii) Amendment No. 3 thereto, filed with the SEC on July 15, 2013, (iv) Amendment No. 4 thereto, filed with the SEC on July 22, 2013, and
(v) Amendment No. 5 thereto, filed with the SEC on November 25, 2015. The filing of any amendment to this Schedule 13D (including the filing of this Amendment No. 6) shall not be construed to be an admission that a material
change has occurred in the facts set forth in this Schedule 13D or that such amendment is required under Rule 13d-2 of the Securities Exchange Act of 1934, as amended.
| ITEM 5. | INTEREST IN SECURITIES OF THE ISSUER. |
Items 5(a) and 5(b) of this Schedule 13D are hereby amended and
restated as follows:
The following calculations of percentage ownership of the outstanding Common Stock are based on 22,373,094 shares of
Common Stock outstanding as of November 6, 2015, as reported in the Form 10-Q filed by the Company with the SEC on November 9, 2015.
| (a)-(b) | Due to its ownership of the Warrant (as defined in Amendment No. 3 to this Schedule 13D), NantWorks may be deemed to beneficially own 1,500,000 shares of Common Stock, representing approximately 6.3% of the outstanding Common Stock (after giving effect to the exercise of the Warrant). As the sole member of NantWorks, California Equity may be deemed to beneficially own all Common Stock owned by NantWorks. Accordingly, California Equity may be deemed to beneficially own, in the aggregate, 1,500,000 shares of Common Stock, representing approximately 6.3% of the outstanding Common Stock (after giving effect to the exercise of the Warrant). |
California Capital directly owns 2,961,054 shares of Common Stock, representing approximately 13.2% of the outstanding Common Stock.
Dr. Soon-Shiong directly owns 239,622 shares of Common Stock, representing approximately 1.1% of the outstanding Common Stock. In
addition, as the sole member of each of California Capital and California Equity, Dr. Soon-Shiong may be deemed to beneficially own all Common Stock beneficially owned by California Capital and by California Equity (including all Common Stock
beneficially owned by NantWorks). Accordingly, Dr. Soon-Shiong may be deemed to beneficially own, in the aggregate, 4,700,676 shares of Common Stock, representing approximately 19.7% of the outstanding Common Stock (after giving effect to the
exercise of the Warrant).
Dr. Soon-Shiong has the sole power to vote or direct the vote of, and the sole power to dispose or direct
the disposition of, the 239,622 shares of Common Stock that are directly owned by him. California Capital may be deemed to share the power to vote or direct the vote of, and the power to dispose or direct the disposition of, the 2,961,054 shares of
Common Stock that are directly owned by California Capital with Dr. Soon-Shiong. NantWorks may be deemed to share the power to vote or direct the vote of, and the power to dispose or direct the disposition of, the 1,500,000 shares of Common
Stock issuable upon exercise of the Warrant with California Equity and Dr. Soon-Shiong.
Item 5(c) of this Schedule 13D is hereby amended to
include the following information:
| (c) | On March 3, 2016, California Capital sold 1,000,000 shares of Common Stock on the open market for $7.45 per share. |
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Page 7 of 8 SEC Filing
SCHEDULE 13D/A
| CUSIP No. 47012E106 | PAGE 7 OF 8 PAGES |
SIGNATURE
After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the information set forth in this statement is true,
complete and correct.
Dated: March 4, 2016
| CALIFORNIA CAPITAL Z, LLC | ||
| By: | /s/ Charles Kenworthy | |
| Its: | Manager | |
| PATRICK SOON-SHIONG | ||
| /s/ Patrick Soon-Shiong | ||
| CALIFORNIA CAPITAL EQUITY, LLC | ||
| By: | /s/ Charles Kenworthy | |
| Its: | Manager | |
| NANTWORKS LLC | ||
| By: | /s/ Charles Kenworthy | |
| Its: | Authorized Signatory | |
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Page 8 of 8 SEC Filing
SCHEDULE 13D/A
| CUSIP No. 47012E106 | PAGE 8 OF 8 PAGES |
EXHIBIT INDEX
| Exhibit | Description of Exhibit | |
| 1 | Joint Filing Agreement, dated as of October 15, 2012, between California Capital Z, LLC and Dr. Patrick Soon-Shiong (incorporated by reference to Exhibit 1 to the Schedule 13D filed by the Reporting Persons with the SEC on October 15, 2012). | |
| 2 | Joint Filing Agreement, dated as of July 5, 2013, among Dr. Patrick Soon-Shiong, California Capital Z, LLC and NantWorks LLC (incorporated by reference to Exhibit 2 to Amendment No. 3 to the Schedule 13D filed by the Reporting Persons with the SEC on July 15, 2013) | |
| 3 | Warrant for the Purchase of Common Stock, dated as of September 12, 2012, by JAKKS Pacific, Inc. in favor of NantWorks LLC (incorporated by reference to Exhibit 3 to Amendment No. 3 to the Schedule 13D filed by the Reporting Persons with the SEC on July 15, 2013). | |
| 4 | Registration Rights Agreement, dated as of September 12, 2012, between JAKKS Pacific, Inc. and NantWorks LLC (incorporated by reference to Exhibit 4 to Amendment No. 3 to the Schedule 13D filed by the Reporting Persons with the SEC on July 15, 2013). | |
| 5 | Joint Filing Agreement, dated as of November 25, 2015, among Dr. Patrick Soon-Shiong, California Capital Z, LLC, California Capital Equity, LLC, and NantWorks LLC (incorporated by reference to Exhibit 5 to Amendment No. 5 to the Schedule 13D filed by the Reporting Persons with the SEC on November 25, 2015). | |
