X0306
4
2018-07-11
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
0001629222
Cambridge Equities, LP
9922 JEFFERSON BLVD.
CULVER CITY
CA
90232
0
0
1
0
0001629186
MP 13 Ventures, LLC
9922 JEFFERSON BLVD.
CULVER CITY
CA
90232
0
0
1
0
Common Stock
2018-07-11
4
M
0
9257
1.6204
A
40565814
I
See footnote
Common Stock
5618326
I
See footnote
Common Stock
600000
D
Warrant (right to buy)
1.6204
2018-07-11
4
M
0
9257
0.00
D
2018-07-27
Common Stock
9257
0
I
See footnote
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.
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.
Warrant was exercisable on the original date of issuance.
Warrant 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 warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities.
/s/ Patrick Soon-Shiong, and /s/ Charles Kenworthy, Manager of MP 13 Ventures, on behalf of itself and as General Partner of Cambridge Equities
2018-07-13