0001209191-16-107197.txt : 20160308 0001209191-16-107197.hdr.sgml : 20160308 20160308204704 ACCESSION NUMBER: 0001209191-16-107197 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160304 FILED AS OF DATE: 20160308 DATE AS OF CHANGE: 20160308 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: MP 13 Ventures, LLC CENTRAL INDEX KEY: 0001629186 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 161493158 BUSINESS ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cambridge Equities, LP CENTRAL INDEX KEY: 0001629222 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 161493159 BUSINESS ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chan Soon-Shiong Family Foundation CENTRAL INDEX KEY: 0001668335 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 161493160 BUSINESS ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOON-SHIONG PATRICK CENTRAL INDEX KEY: 0001189020 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 161493161 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 FORMER NAME: FORMER CONFORMED NAME: SOON SHIONG PATRICK DATE OF NAME CHANGE: 20020912 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-04 0 0000850261 Sorrento Therapeutics, Inc. SRNE 0001189020 SOON-SHIONG PATRICK 9922 JEFFERSON BOULEVARD CULVER CITY CA 90232 0 0 1 0 0001668335 Chan Soon-Shiong Family Foundation 9922 JEFFERSON BOULEVARD CULVER CITY CA 90232 0 0 1 0 0001629222 Cambridge Equities, LP 9922 JEFFERSON BOULEVARD CULVER CITY CA 90232 0 0 0 1 Reporting group member 0001629186 MP 13 Ventures, LLC 9922 JEFFERSON BOULEVARD CULVER CITY CA 90232 0 0 1 0 Common Stock 2016-03-04 4 S 0 14700 6.34 D 859238 D Common Stock 2016-03-07 4 S 0 85300 6.17 D 773938 D Common Stock 7188061 I Through The Chan Soon-Shiong Family Foundation Warrant 5.80 2014-12-22 2017-12-22 Common Stock 1724138 1724138 I Through Cambridge Equities, LP These shares of common stock were acquired on the open market. The price reported in Column 4 is a weighted average sale price. Dr. Patrick Soon-Shiong undertakes to provide to Sorrento Therapeutics, Inc. (the "Company"), any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were acquired. Dr. Patrick Sooon-Shiong is the Chairman of The Chan Soon-Shiong Family Foundation. The exercise price of the Warrant is subject to customary adjustment provisions for stock splits, stock dividends, recapitalizations and the like. Dr. Patrick Soon-Shiong is the sole member of MP 13 Ventures, LLC, which is the general partner of Cambridge Equities, LP. This Form 5 shall not be deemed to be an admission by any reporting person hereunder that it or he is the beneficial owner, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended (the "Exchange Act"), for purposes of Section 13 of the Exchange Act, or for any other purpose, of any of the securities reported herein. Without limiting the immediately preceding sentence, each reporting person hereunder expressly disclaims beneficial ownership, for purposes of Section 16 of the Exchange Act, of all securities reported herein, except to the extent of its or his pecuniary interest therein. /s/ Patrick Soon-Shiong on behalf of himself and each other reporting person 2016-03-08