0001209191-16-132334.txt : 20160711
0001209191-16-132334.hdr.sgml : 20160711
20160711204357
ACCESSION NUMBER: 0001209191-16-132334
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160707
FILED AS OF DATE: 20160711
DATE AS OF CHANGE: 20160711
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Chan Soon-Shiong Family Foundation
CENTRAL INDEX KEY: 0001668335
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37507
FILM NUMBER: 161763033
BUSINESS ADDRESS:
STREET 1: 9922 JEFFERSON BOULEVARD
CITY: CULVER CITY
STATE: CA
ZIP: 90232
BUSINESS PHONE: 310-836-6400
MAIL ADDRESS:
STREET 1: 9922 JEFFERSON BOULEVARD
CITY: CULVER CITY
STATE: CA
ZIP: 90232
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SOON-SHIONG PATRICK
CENTRAL INDEX KEY: 0001189020
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37507
FILM NUMBER: 161763034
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-07-07
0
0001326110
NantKwest, Inc.
NK
0001189020
SOON-SHIONG PATRICK
C/O NANTKWEST, INC.
3530 JOHN HOPKINS COURT
SAN DIEGO
CA
92121
1
1
1
0
Chairman and CEO
0001668335
Chan Soon-Shiong Family Foundation
9922 JEFFERSON BLVD
CULVER CITY
CA
90232
0
0
1
0
Common Stock
2016-07-07
4
P
0
5618326
A
5618326
I
See footnote
Common Stock
41016557
I
See footnote
Common Stock
600000
D
The Chan Soon-Shiong Family Foundation (the "Foundation") entered into to a letter agreement (the "Letter Agreement") with Sorrento Therapeutics, Inc. ("Sorrento"), pursuant to which (a) Sorrento agreed to sell to the Foundation, and the Foundation agreed to purchase from Sorrento, 5,618,326 shares of Common Stock of NantKwest, Inc., (b) the Foundation agreed to sell to Sorrento, and Sorrento agreed to purchase from the Foundation, 7,878,098 shares of Sorrento common stock, and (c) Sorrento agreed to pay to Foundation an aggregate of $15,639,071.95.
Shares held by the Chan Soon-Shiong Family Foundation, an exempt corporation organized under the laws of the State of Delaware (the "Foundation"). The Foundation has the sole power to vote and direct the disposition of all shares directly owned by the Foundation, except to the extent it may be deemed to share such power with the reporting person by virtue of the reporting person's control over the Foundation. The reporting person serves as Chairman of the Foundation.
Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities.
Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the RSUs will vest as follows: 50% of the RSUs vested on the July 27, 2015, and 50% of the RSUs will vest on July 27, 2016.
/s/ Patrick Soon-Shiong and /s/ Charles Kenworthy, Executive Vice President of the Chan Soon-Shiong Family Foundation
2016-07-11