0001144204-17-059793.txt : 20171116 0001144204-17-059793.hdr.sgml : 20171116 20171116192210 ACCESSION NUMBER: 0001144204-17-059793 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171114 FILED AS OF DATE: 20171116 DATE AS OF CHANGE: 20171116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lemus David CENTRAL INDEX KEY: 0001717972 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 171209298 MAIL ADDRESS: STREET 1: C/O SORRENTO THERAPEUTICS, INC. STREET 2: 4955 DIRECTOR'S PLACE CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sorrento Therapeutics, Inc. CENTRAL INDEX KEY: 0000850261 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 330344842 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4955 DIRECTORS PLACE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-203-4100 MAIL ADDRESS: STREET 1: 4955 DIRECTORS PLACE CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: QUIKBYTE SOFTWARE INC DATE OF NAME CHANGE: 19920703 4 1 tv479803_4.xml OWNERSHIP DOCUMENT X0306 4 2017-11-14 0 0000850261 Sorrento Therapeutics, Inc. SRNE 0001717972 Lemus David C/O SORRENTO THERAPEUTICS, INC. 4955 DIRECTOR'S PLACE SAN DIEGO CA 92121 1 0 0 0 Stock Options 2.30 2017-11-14 4 A 0 35000 0.00 A 2027-11-14 Common Stock 35000 35000 D 1/12 of the original number of shares subject to this option is immediately vested and exercisable. 1/12 of the original number of shares subject to this option shall vest and become exercisable on November 26, 2017 and 1/12 of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date. /s/ Henry Ji, Ph.D., as Attorney-in-Fact 2017-11-16