Filing Details

Accession Number:
0001144204-18-003702
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-25 16:57:30
Reporting Period:
2018-01-23
Accepted Time:
2018-01-25 16:57:30
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
850261 Sorrento Therapeutics Inc. SRNE Services-Commercial Physical & Biological Research (8731) 330344842
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1704813 Ltd (Bvi) Medtech Pacific Asia C/O Offshore Incorporations Limited
Offshore Incorporations Centre Pobox 957
Road Town, Tortola D8 VG110
No No Yes No
1705658 Nana Gu C/O Offshore Incorporations Limited
Offshore Incorporations Centre Pobox 957
Road Town, Tortola D8 VG110
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2018-01-23 106,326 $7.82 9,195,475 No 4 S Direct
Common Stock Disposition 2018-01-24 577,962 $7.52 8,617,513 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.75 to $8.00, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.50 to $7.675, inclusive.
  3. This Form 4 is being filed by Asia Pacific MedTech (BVI) Limited as the direct beneficial owner of the shares of Common Stock. Nana Gu is the indirect beneficial owner of the shares of Common Stock in her capacity as the sole director and sole shareholder of Asia Pacific MedTech (BVI) Limited.