0001104659-17-023841.txt : 20170417
0001104659-17-023841.hdr.sgml : 20170417
20170417215942
ACCESSION NUMBER: 0001104659-17-023841
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170413
FILED AS OF DATE: 20170417
DATE AS OF CHANGE: 20170417
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: 9380 JUDICIAL DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: 858-210-3700
MAIL ADDRESS:
STREET 1: 9380 JUDICIAL DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
FORMER COMPANY:
FORMER CONFORMED NAME: QUIKBYTE SOFTWARE INC
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Li Bin
CENTRAL INDEX KEY: 0001668219
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765854
MAIL ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ally Bridge LB Management Ltd
CENTRAL INDEX KEY: 0001668028
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765856
BUSINESS ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
BUSINESS PHONE: (852)31219699
MAIL ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ally Bridge Group Capital Partners II, L.P.
CENTRAL INDEX KEY: 0001609313
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765859
BUSINESS ADDRESS:
STREET 1: ABG MGMT LTD., UNIT 3002-3004, 30 FL
STREET 2: GLOUCESTER TWR LANDMK 15 QUEENS RD CTRL
CITY: HONG KONG
STATE: F4
ZIP: 00000
BUSINESS PHONE: (852) 3121-9699
MAIL ADDRESS:
STREET 1: ABG MGMT LTD., UNIT 3002-3004, 30 FL
STREET 2: GLOUCESTER TWR LANDMK 15 QUEENS RD CTRL
CITY: HONG KONG
STATE: F4
ZIP: 00000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ABG SRNE Ltd
CENTRAL INDEX KEY: 0001676083
STATE OF INCORPORATION: D8
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765860
BUSINESS ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: ,THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
BUSINESS PHONE: (852)31219699
MAIL ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: ,THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ABG Management Ltd
CENTRAL INDEX KEY: 0001668027
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765861
BUSINESS ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
BUSINESS PHONE: (852)31219699
MAIL ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ally Bridge Group Innovation Capital Partners III, L.P.
CENTRAL INDEX KEY: 0001674513
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765855
BUSINESS ADDRESS:
STREET 1: ABG MGMT LTD., UNIT 3002-3004, 30 FL
STREET 2: GLOUCESTER TWR LANDMK 15 QUEENS RD CTRL
CITY: HONG KONG
STATE: F4
ZIP: 00000
BUSINESS PHONE: (852) 3121-9699
MAIL ADDRESS:
STREET 1: ABG MGMT LTD., UNIT 3002-3004, 30 FL
STREET 2: GLOUCESTER TWR LANDMK 15 QUEENS RD CTRL
CITY: HONG KONG
STATE: F4
ZIP: 00000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Yu Fan
CENTRAL INDEX KEY: 0001668029
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765853
MAIL ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ally Bridge LB Healthcare Master Fund Ltd
CENTRAL INDEX KEY: 0001667354
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765857
BUSINESS ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
BUSINESS PHONE: (852)31219699
MAIL ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ABG II-SO Ltd
CENTRAL INDEX KEY: 0001676141
STATE OF INCORPORATION: D8
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 17765858
BUSINESS ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: ,THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
BUSINESS PHONE: (852)31219699
MAIL ADDRESS:
STREET 1: UNIT 3002-04,30TH FLOOR,GLOUCESTER TOWER
STREET 2: ,THE LANDMARK,15 QUEEN'S ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: 000000
4
1
a4.xml
4
X0306
4
2017-04-13
0
0000850261
Sorrento Therapeutics, Inc.
SRNE
0001668027
ABG Management Ltd
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001676083
ABG SRNE Ltd
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001609313
Ally Bridge Group Capital Partners II, L.P.
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001676141
ABG II-SO Ltd
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001667354
Ally Bridge LB Healthcare Master Fund Ltd
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001668028
Ally Bridge LB Management Ltd
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001674513
Ally Bridge Group Innovation Capital Partners III, L.P.
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001668219
Li Bin
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001668029
Yu Fan
UNIT 3002-3004, 30TH FLOOR,
GLOUCESTER TOWER, THE LANDMARK, CENTRAL
HONG KONG
K3
00000
HONG KONG
0
0
1
0
Common Stock
2017-04-13
4
P
0
1000000
2.00
A
1397853
I
Through ABG II-SO Limited
Common Stock
1441441
I
Through Ally Bridge LB Healthcare Master Fund Limited
Common Stock
3243242
I
Through ABG SRNE Limited
Common Stock
2017-04-13
4
P
0
1500000
2.00
A
1500000
I
Through ABG Innovation-SO Limited
Warrants
8.5
2019-05-31
Common Stock
432432
432432
I
Through Ally Bridge LB Healthcare Master Fund Limited
Warrants
8.5
2019-05-31
Common Stock
432432
432432
I
Through ABG SRNE Limited
Warrants
8.5
2019-06-07
Common Stock
540540
540540
I
Through ABG SRNE Limited
The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act").
The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited ("ABG Innovation"), a British Virgin Islands limited company,
(ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited.
Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
ABG II-SO directly owns 1,397,853 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd.
ABG LB directly owns (i) 1,441,441 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited.
ABG SRNE directly owns (i) 3,243,242 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd.
ABG Innovation directly owns 1,500,000 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG Innovation, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd.
The warrants are exercisable at any time on or after May 31, 2016.
The warrants are exercisable at any time on or after June 7, 2016.
/s/ Yu Fan on behalf of himself and each other reporting person
2017-04-17