0000950170-24-118452.txt : 20241029 0000950170-24-118452.hdr.sgml : 20241029 20241029193818 ACCESSION NUMBER: 0000950170-24-118452 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241022 FILED AS OF DATE: 20241029 DATE AS OF CHANGE: 20241029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOON-SHIONG PATRICK CENTRAL INDEX KEY: 0001189020 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39468 FILM NUMBER: 241407077 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 FORMER NAME: FORMER CONFORMED NAME: SOON SHIONG PATRICK DATE OF NAME CHANGE: 20020912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nant Capital, LLC CENTRAL INDEX KEY: 0001675758 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39468 FILM NUMBER: 241407078 BUSINESS ADDRESS: BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Panbela Therapeutics, Inc. CENTRAL INDEX KEY: 0001029125 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 870543922 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 712 VISTA BLVD #305 CITY: WACONIA STATE: MN ZIP: 55387 BUSINESS PHONE: 9524791196 MAIL ADDRESS: STREET 1: 712 VISTA BLVD #305 CITY: WACONIA STATE: MN ZIP: 55387 FORMER COMPANY: FORMER CONFORMED NAME: Sun BioPharma, Inc. DATE OF NAME CHANGE: 20150911 FORMER COMPANY: FORMER CONFORMED NAME: Cimarron Medical, Inc. DATE OF NAME CHANGE: 20150602 FORMER COMPANY: FORMER CONFORMED NAME: CIMARRON SOFTWARE INC DATE OF NAME CHANGE: 19961217 3 1 ownership.xml 3 X0206 3 2024-10-22 0 0001029125 Panbela Therapeutics, Inc. PBLA 0001675758 Nant Capital, LLC 450 DULEY ROAD EL SEGUNDO CA 90245 false false true false 0001189020 SOON-SHIONG PATRICK C/O NANT CAPITAL, LLC 450 DULEY ROAD EL SEGUNDO CA 90245 false false true false 8% Senior Convertible Tranche A Note due 2025 0.37 2024-10-22 2025-04-22 Common Stock 7702702 D The 8% Senior Convertible Tranche A Note (the "Note") was issued pursuant to that certain Note Purchase Agreement by and between the Issuer and Nant Capital, LLC ("Nant Capital") dated October 22, 2024 (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Nant Capital shall purchase an additional 8% Senior Convertible Tranche B Note on or before November 15, 2024. Subject to an issuance limitation in the event of a voluntary conversion of the Note occurring prior to the maturity date that prohibits Nant Capital from converting the Note to the extent that after giving effect to the issuance of the Issuer's common stock after such conversion, Nant Capital (together with Nant Capital's affiliates, and any other person acting as a group together with Nant Capital or any of Nant Capital's affiliates) would beneficially own in excess of 33.33% of the shares of the Issuer's common stock outstanding. Note held by Nant Capital. Dr. Patrick Soon-Shiong owns all of the equity interests of Nant Capital and Dr. Soon-Shiong may be deemed to have beneficial ownership of the shares held by Nant Capital. /s/ Charles Kenworthy, Manager, Nant Capital LLC 2024-10-29 /s/ Patrick Soon-Shiong 2024-10-29