0001209191-20-038679.txt : 20200623
0001209191-20-038679.hdr.sgml : 20200623
20200623214553
ACCESSION NUMBER: 0001209191-20-038679
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200619
FILED AS OF DATE: 20200623
DATE AS OF CHANGE: 20200623
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Simon Barry J.
CENTRAL INDEX KEY: 0001647994
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37507
FILM NUMBER: 20983693
MAIL ADDRESS:
STREET 1: 2533 SOUTH COAST HIGHWAY 101
STREET 2: SUITE 210
CITY: CARDIFF-BY-THE-SEA
STATE: CA
ZIP: 92007
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NantKwest, Inc.
CENTRAL INDEX KEY: 0001326110
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 431979754
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3530 JOHN HOPKINS COURT
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: (858) 633-0300
MAIL ADDRESS:
STREET 1: 3530 JOHN HOPKINS COURT
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
FORMER COMPANY:
FORMER CONFORMED NAME: Conkwest, Inc.
DATE OF NAME CHANGE: 20140416
FORMER COMPANY:
FORMER CONFORMED NAME: ZelleRx Corp
DATE OF NAME CHANGE: 20050504
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-06-19
0
0001326110
NantKwest, Inc.
NK
0001647994
Simon Barry J.
C/O NANTKWEST, INC.
3530 JOHN HOPKINS COURT
SAN DIEGO
CA
92121
1
1
0
0
See remarks
Common Stock
2020-06-19
4
M
0
9337
1.7554
A
3204243
D
Common Stock
2020-06-19
4
S
0
13737
9.0003
D
3190506
D
Common Stock
2020-06-22
4
M
0
136729
1.7554
A
3327235
D
Common Stock
2020-06-22
4
S
0
66263
9.4292
D
3260972
D
Common Stock
2020-06-22
4
S
0
80000
10.5458
D
3180972
D
Common Stock
2020-06-22
4
S
0
10432
13.0089
D
3170540
D
Common Stock
2020-06-23
4
M
0
29609
1.7554
A
3200149
D
Common Stock
2020-06-23
4
S
0
29609
13.0073
D
3170540
D
Stock Option (right to buy)
1.7554
2020-06-19
4
M
0
9337
0.00
D
2024-12-18
Common Stock
9337
303994
D
Stock Option (right to buy)
1.7554
2020-06-22
4
M
0
136729
0.00
D
2024-12-18
Common Stock
136729
167265
D
Stock Option (right to buy)
1.7554
2020-06-23
4
M
0
29609
0.00
D
2024-12-18
Common Stock
29609
137656
D
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.
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.
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.
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.
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.
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.
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.
President and Chief Administrative Officer
/s/ Sonja Nelson, as Attorney-in-Fact
2020-06-23