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