Filing Details

Accession Number:
0001209191-20-038679
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-06-23 21:45:53
Reporting Period:
2020-06-19
Accepted Time:
2020-06-23 21:45:53
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1326110 Nantkwest Inc. NK Biological Products, (No Disgnostic Substances) (2836) 431979754
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1647994 J. Barry Simon C/O Nantkwest, Inc.
3530 John Hopkins Court
San Diego CA 92121
See Remarks Yes Yes No 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 Acquisiton 2020-06-19 9,337 $1.76 3,204,243 No 4 M Direct
Common Stock Disposition 2020-06-19 13,737 $9.00 3,190,506 No 4 S Direct
Common Stock Acquisiton 2020-06-22 136,729 $1.76 3,327,235 No 4 M Direct
Common Stock Disposition 2020-06-22 66,263 $9.43 3,260,972 No 4 S Direct
Common Stock Disposition 2020-06-22 80,000 $10.55 3,180,972 No 4 S Direct
Common Stock Disposition 2020-06-22 10,432 $13.01 3,170,540 No 4 S Direct
Common Stock Acquisiton 2020-06-23 29,609 $1.76 3,200,149 No 4 M Direct
Common Stock Disposition 2020-06-23 29,609 $13.01 3,170,540 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2020-06-19 9,337 $0.00 9,337 $1.76
Common Stock Stock Option (right to buy) Disposition 2020-06-22 136,729 $0.00 136,729 $1.76
Common Stock Stock Option (right to buy) Disposition 2020-06-23 29,609 $0.00 29,609 $1.76
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
303,994 2024-12-18 No 4 M Direct
167,265 2024-12-18 No 4 M Direct
137,656 2024-12-18 No 4 M Direct
Footnotes
  1. The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019.
  2. Represents the weighted average share price of an aggregate total of 13,737 shares sold in the price range of $9.00 to $9.02 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  3. Represents the weighted average share price of an aggregate total of 66,263 shares sold in the price range of $9.25 to $9.71 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  4. Represents the weighted average share price of an aggregate total of 80,000 shares sold in the price range of $10.50 to $10.88 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  5. Represents the weighted average share price of an aggregate total of 10,432 shares sold in the price range of $13.00 to $13.10 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  6. Represents the weighted average share price of an aggregate total of 29,609 shares sold in the price range of $13.00 to $13.04 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  7. Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events.