Sorrento Therapeutics Inc. (SRNE): Wildcat Capital Management Growing Impatient With Lack of Disclosure, Repeats Demands

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Page 3 of 14 – SEC Filing
CUSIP No. 83587F202 13D Page 3 of 14 Pages
1

NAMES OF REPORTING PERSONS

Wildcat – Liquid Alpha, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(see instructions)

(a)
o

(b)
o

3  SEC USE ONLY
4

SOURCE OF FUNDS(see instructions)

WC (See Item 3)

5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF SHARES

BENEFICIALLY OWNED BY
EACH REPORTING

PERSON WITH

7

SOLE VOTING POWER

-0-

8

SHARED VOTING POWER

184,000 (See Items 3, 4 and 5)

9

SOLE DISPOSITIVE POWER

-0-

10

SHARED DISPOSITIVE POWER

184,000 (See Items 3, 4 and 5)

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON

184,000 (See Items 3, 4 and 5)

12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) o
13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11

0.5% (See Item 5)*

14

TYPE OF REPORTING PERSON

OO

* The calculation assumes that there are a total of 40,213,733 shares of Common Stock outstanding as of May 12, 2016, as set
forth in the Issuer’s Definitive Proxy Statement on Schedule 14A, filed with the SEC on May 13, 2016.

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