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Filing Details

Accession Number:
0000903423-18-000084
Form Type:
13G Filing
Publication Date:
2018-02-12 21:47:24
Filed By:
Wildcat Capital Management
Company:
Nantkwest Inc.
Filing Date:
2018-02-13
SEC Url:
13G Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Bonderman Family Limited Partnership 0 808,974 0 808,974 808,974 1.0%
Wildcat Capital Management 0 808,974 0 808,974 808,974 1.0%
Leonard A. Potter 0 808,974 0 808,974 808,974 1.0%
Filing
 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

NantKwest, Inc.

(Name of Issuer)

Common Stock par value, $0.0001 per share

(Title of Class of Securities)

63016Q102

(CUSIP Number)

December 31, 2017

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

¨ Rule 13d-1(b)

¨ Rule 13d-1(c)

x Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).  

 

 

 

     
CUSIP No. 63016Q102  13G Page 2 of 7 Pages

 

             
  1.   

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Bonderman Family Limited Partnership

  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)

(a)  ¨        (b)  ¨ 

 

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  5.   

SOLE VOTING POWER

 

    0

  6.  

SHARED VOTING POWER

 

    808,974 (See Item 4)

  7.  

SOLE DISPOSITIVE POWER

 

    0

  8.  

SHARED DISPOSITIVE POWER

 

    808,974 (See Item 4)

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    808,974 (See Item 4)

10.  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions)    ¨

 

11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

    1.0%(1)

12.  

TYPE OF REPORTING PERSON (see instructions)

 

    PN

 

 

(1) Based upon 79,455,139 shares of common stock outstanding as of November 6, 2017, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2017, filed with the Securities and Exchange Commission (the “SEC”) on November 7, 2017.

 

 

 

 

     
CUSIP No. 63016Q102  13G Page 3 of 7 Pages

 

             
  1.   

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Wildcat Capital Management, LLC

  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)

(a)  ¨        (b)  ¨

 

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  5.   

SOLE VOTING POWER

 

    0

  6.  

SHARED VOTING POWER

 

    808,974 (See Item 4)

  7.  

SOLE DISPOSITIVE POWER

 

    0

  8.  

SHARED DISPOSITIVE POWER

 

    808,974 (See Item 4)

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    808,974 (See Item 4)

10.  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions)    ¨

 

11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

    1.0%(2)

12.  

TYPE OF REPORTING PERSON (see instructions)

 

    OO

 

 

(2) Based upon 79,455,139 shares of common stock outstanding as of November 6, 2017, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2017, filed with the SEC on November 7, 2017.

 

 

CUSIP No. 63016Q102  13G Page 4 of 7 Pages

 

             
  1.   

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Leonard A. Potter

  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)

(a)  ¨        (b)  ¨

 

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  5.   

SOLE VOTING POWER

 

    0

  6.  

SHARED VOTING POWER

 

    808,974 (See Item 4)

  7.  

SOLE DISPOSITIVE POWER

 

    0

  8.  

SHARED DISPOSITIVE POWER

 

    808,974 (See Item 4)

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    808,974 (See Item 4)

10.  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions)    ¨

 

11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

    1.0%(3)

12.  

TYPE OF REPORTING PERSON (see instructions)

 

    IN

   
               
(3) Based upon 79,455,139 shares of common stock outstanding as of November 6, 2017, as set forth in the Issuer’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2017, filed with the SEC on November 7, 2017.

 

 

Item 1.

 

  (a) Name of Issuer

NantKwest, Inc. (“Issuer”)

 

  (b) Address of Issuer’s Principal Executive Offices

3530 John Hopkins Court

San Diego, California 92121

Item 2.

 

  (a) Name of Person Filing

Bonderman Family Limited Partnership (“BFLP”), Wildcat Capital Management, LLC (“Wildcat”) and Leonard A. Potter (together with BFLP and Wildcat, collectively, the “Reporting Persons”).

The Reporting Persons are making this single, joint filing pursuant to Rule 13d-1(k)(1) under the Act; neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting Persons that a “group” within the meaning of Section 13(d)(3) of the Act exists.

The agreement required by Rule 13d-1(k)(1)(iii) is attached hereto as Exhibit A..

 

  (b) Address of the Principal Office or, if none, residence

The address of all Reporting Persons is:

301 Commerce Street, Suite 3300

Fort Worth, Texas 76102

 

  (c) Citizenship

BFLP is a Texas limited partnership. Wildcat is a Delaware limited liability company.

 

  (d) Title of Class of Securities

Common stock, par value $0.0001 per share

 

  (e) CUSIP Number

63016Q102

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

         
(a)   ¨   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
     
(b)   ¨   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
     
(c)   ¨   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
     
(d)   ¨   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
     
(e)   ¨   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
     
(f)   ¨   An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
     
(g)   ¨   A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
     
(h)   ¨   A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
     
(i)   ¨   A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
     
(j)   ¨   Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

Page 5 of 7

 

Item 4. Ownership.

 

  (a) Amount beneficially owned:

BFLP directly holds 808,974 shares of common stock (the “BFLP Shares”). Wildcat may be deemed to beneficially own the BFLP Shares based on having voting power, which includes the power to vote, or to direct the voting of, such shares and investment power, which includes the power to dispose, or to direct the disposition of, such shares pursuant to the terms of the BFLP limited partnership agreement and an investment management agreement between Wildcat and BFLP. Pursuant to the terms of the investment management agreement, BFLP (i) delegates investment power with respect to the BFLP Shares to Wildcat and (ii) may direct Wildcat to proscribe a particular investment, investment strategy or investment type. The investment management agreement can be terminated by BFLP upon 15 days’ prior written notice or by Wildcat upon 90 days’ prior written notice

Mr. Potter is an officer and the sole member of Wildcat. Because of the relationship of Mr. Potter to Wildcat, Mr. Potter may be deemed to beneficially own the BFLP Shares.

 

  (b) Percent of class:

See responses to Item 11 on each cover page.

  (c) Number of shares as to which the person has:
  (i) Sole power to vote or to direct the vote:  

See responses Item 5 on each cover page.

  (ii) Shared power to vote or to direct the vote:

See responses to Item 6 on each cover page. 

  (iii) Sole power to dispose or to direct the disposition of:

See responses to Item 7 on each cover page.

  (iv) Shared power to dispose or to direct the disposition:

See responses to Item 8 on each cover page.

Item 5. Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

Not applicable

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

Not applicable

Item 8. Identification and Classification of Members of the Group.

Not applicable.

Item 9. Notice of Dissolution of Group.

Not applicable

Page 6 of 7

Item 10. Certification.

Not applicable.

SIGNATURES

After reasonable inquiry and to the best of their knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

Date: February 12, 2018

 

     
BONDERMAN FAMILY LIMITED PARTNERSHIP
     
   
By:  

/s/ Clive D. Bode

Name:   Clive D. Bode
Title:   President
 
WILDCAT CAPITAL MANAGEMENT, LLC
   
By:  

/s/ Leonard A. Potter

Name:   Leonard A. Potter
Title:   President
     

 

LEONARD A. POTTER
   
By:  

/s/ Leonard A. Potter

Name:   Leonard A. Potter
     

 

 

 

 

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

Page 7 of 7

EXHIBIT A

AGREEMENT TO FILE SCHEDULE 13G JOINTLY

Pursuant to the requirements of Rule 13d-1(k)(1)(iii), the undersigned hereby agree that whenever one or more of them is required to file a statement containing the information required by Schedule 13G (or an amendment thereto) relating to shares of NantKwest, Inc., which this Schedule 13G related as to each of them to the same securities, only one such statement shall be filed on behalf of all such persons containing the required information with regard to each such person.

 

             
Date: February 12, 2018       BONDERMAN FAMILY LIMITED PARTNERSHIP
             
       
        By:  

/s/ Clive D. Bode

        Name:   Clive D. Bode
        Title:   President
     
Date: February 12, 2018       WILDCAT CAPITAL MANAGEMENT, LLC
       
        By:  

/s/ Leonard A. Potter

        Name:   Leonard A. Potter
        Title:   President
             
Date: February 12, 2018       LEONARD A. POTTER
       
        By:  

/s/ Leonard A. Potter

        Name:   Leonard A. Potter