Filing Details

Accession Number:
0001209191-21-002393
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-01-06 20:25:01
Reporting Period:
2021-01-04
Accepted Time:
2021-01-06 20:25:01
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
1674905 Sonja Nelson C/O Nantkwest, Inc.
3530 John Hopkins Court
San Diego CA 92121
Chief Financial Officer No 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 2021-01-04 22,729 $3.07 59,681 No 4 M Direct
Common Stock Disposition 2021-01-04 39,271 $13.62 20,410 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2021-01-04 22,729 $0.00 22,729 $3.07
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
177,271 2028-08-27 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 September 4, 2020.
  2. Represents the weighted average share price of an aggregate total of 39,271 shares sold in the price range of $13.31 to $14.015 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. Subject to the award recipient's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option shall vest as follows: twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on August 27, 2019, and thereafter the remaining shares subject to the option shall vest and become exercisable in equal monthly installments over thirty six (36) months, such that the option will be fully vested and exercisable on August 27, 2022.