0001209191-21-057957.txt : 20210928 0001209191-21-057957.hdr.sgml : 20210928 20210928173734 ACCESSION NUMBER: 0001209191-21-057957 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210927 FILED AS OF DATE: 20210928 DATE AS OF CHANGE: 20210928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Janda Kim CENTRAL INDEX KEY: 0001518466 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 211288541 MAIL ADDRESS: STREET 1: 6042 CORNERSTONE CT. WEST STREET 2: SUITE B CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sorrento Therapeutics, Inc. CENTRAL INDEX KEY: 0000850261 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] 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 doc4.xml FORM 4 SUBMISSION X0306 4 2021-09-27 0 0000850261 Sorrento Therapeutics, Inc. SRNE 0001518466 Janda Kim C/O SORRENTO THERAPEUTICS, INC. 4955 DIRECTORS PLACE SAN DIEGO CA 92121 1 0 0 0 Common Stock 2021-09-27 4 M 0 35000 1.80 A 38000 D Common Stock 2021-09-27 4 M 0 7357 3.57 A 45357 D Common Stock 2021-09-27 4 S 0 42357 8.0204 D 3000 D Stock Options 1.80 2021-09-27 4 M 0 35000 0.00 D 2027-09-15 Common Stock 35000 0 D Stock Options 3.57 2021-09-27 4 M 0 7357 0.00 D 2028-11-26 Common Stock 7357 27643 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.03, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price. 1/12 of the original number of shares subject to this option vested and became exercisable on October 15, 2017 and 1/12 of the original number of shares subject to the option vested following each one month of service thereafter. 1/12 of the original number of shares subject to this option vested and became exercisable on December 26, 2018 and 1/12 of the original number of shares subject to the option vested following each one month of service thereafter. /s/ Henry Ji, Ph.D., as Attorney-in-Fact 2021-09-28