0001104659-17-025040.txt : 20170421 0001104659-17-025040.hdr.sgml : 20170421 20170421071646 ACCESSION NUMBER: 0001104659-17-025040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170419 FILED AS OF DATE: 20170421 DATE AS OF CHANGE: 20170421 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: Yu Fan CENTRAL INDEX KEY: 0001668029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 17774204 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: 17774206 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: 17774209 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: 17774210 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: 17774211 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: 17774205 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: Li Bin CENTRAL INDEX KEY: 0001668219 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 17774203 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: 17774207 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: 17774208 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 2017-04-19 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 0001668029 Yu Fan 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 Common Stock 1397853 I Through ABG II-SO Limited See footnote Common Stock 2017-04-19 4 P 0 550000 2.00 A 1991441 I Through Ally Bridge LB Healthcare Master Fund Limited See footnote Common Stock 3243242 I Through ABG SRNE Limited See footnote Common Stock 1500000 I Through ABG Innovation-SO Limited See footnote Warrants 8.5 2019-05-31 Common Stock 432432 432432 I Through Ally Bridge LB Healthcare Master Fund Limited See footnote Warrants 8.5 2019-05-31 Common Stock 432432 432432 I Through ABG SRNE Limited See footnote Warrants 8.5 2019-06-07 Common Stock 540540 540540 I Through ABG SRNE Limited See footnote 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) 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 (ix) 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) 1,991,441 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. Ally Bridge Group Innovation Capital Partners III, L.P. is the owner of the sole voting share of ABG Innovation-SO Limited, a British Virgin Islands limited company, which 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., (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 2017-04-21