Filing Details
- Accession Number:
- 0001209191-22-049065
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-07 18:22:33
- Reporting Period:
- 2022-09-07
- Accepted Time:
- 2022-09-07 18:22:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 850261 | Sorrento Therapeutics Inc. | SRNE | Biological Products, (No Disgnostic Substances) (2836) | 330344842 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1470981 | Henry Ji | C/O Sorrento Therapeutics, Inc. 4955 Directors Place 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 | 2022-09-07 | 88,888 | $2.02 | 4,765,805 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Call Option (right to buy) | Acquisiton | 2022-09-07 | 759 | $40.66 | 75,900 | $12.00 |
| Common Stock | Call Option (right to buy) | Acquisiton | 2022-09-07 | 129 | $41.66 | 12,900 | $12.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 759 | 2022-09-07 | 2024-01-19 | No | 4 | P | Indirect |
| 129 | 2022-09-07 | 2024-01-19 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,271,693 | Indirect | See Footnote |
| Common Stock | 40,000 | Indirect | By spouse |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.01 to $2.02, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.
- Shares are held in family trusts of which the Reporting Person is a co-trustee with his spouse.
Billionaire Hedge Funds
