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