0001209191-21-002393.txt : 20210106 0001209191-21-002393.hdr.sgml : 20210106 20210106202501 ACCESSION NUMBER: 0001209191-21-002393 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nelson Sonja CENTRAL INDEX KEY: 0001674905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37507 FILM NUMBER: 21512593 MAIL ADDRESS: STREET 1: 3530 JOHN HOPKINS COURT CITY: SAN DIEGO STATE: CA ZIP: 92121 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 2021-01-04 0 0001326110 NantKwest, Inc. NK 0001674905 Nelson Sonja C/O NANTKWEST, INC. 3530 JOHN HOPKINS COURT SAN DIEGO CA 92121 0 1 0 0 Chief Financial Officer Common Stock 2021-01-04 4 M 0 22729 3.07 A 59681 D Common Stock 2021-01-04 4 S 0 39271 13.6217 D 20410 D Stock Option (right to buy) 3.07 2021-01-04 4 M 0 22729 0.00 D 2028-08-27 Common Stock 22729 177271 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 September 4, 2020. Represents the weighted average share price of an aggregate total of 39,271 shares sold in the price range of $13.31 to $14.015 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 award recipient's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option shall vest as follows: twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on August 27, 2019, and thereafter the remaining shares subject to the option shall vest and become exercisable in equal monthly installments over thirty six (36) months, such that the option will be fully vested and exercisable on August 27, 2022. /s/ Sonja Nelson 2021-01-06