0001181431-13-055931.txt : 20131031 0001181431-13-055931.hdr.sgml : 20131031 20131031164210 ACCESSION NUMBER: 0001181431-13-055931 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131029 FILED AS OF DATE: 20131031 DATE AS OF CHANGE: 20131031 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: 6042 CORNERSTONE CT. WEST STREET 2: SUITE B CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-210-3700 MAIL ADDRESS: STREET 1: 6042 CORNERSTONE CT. WEST STREET 2: SUITE B 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: Uy George CENTRAL INDEX KEY: 0001586890 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 131183229 MAIL ADDRESS: STREET 1: 435 PICCOLO CITY: IRVINE STATE: CA ZIP: 92620 4 1 rrd393893.xml FORM 4 X0306 4 2013-10-29 0 0000850261 Sorrento Therapeutics, Inc. SRNE 0001586890 Uy George C/O SORRENTO THERAPEUTICS, INC. 6042 CORNERSTONE CT. WEST, SUITE B SAN DIEGO CA 92121 0 1 0 0 Chief Commercial Officer Stock Options 8.40 2013-10-29 4 A 0 47000 0 A 2023-10-29 Common Stock 47000 47000 D With respect to 27,000 options, 1/4 of the original number of shares subject to the option shall vest on October 1, 2014 and 1/48 of the original number of shares subject to the option shall vest following each one month period of service thereafter, subject to the reporting person's continued service to the Company through each such vesting date. The remaining 20,000 options vest immediately upon grant. /s/ George Uy 2013-10-31