Last 12 months
Inside the activity.
0 purchase rows · 16 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 4 |
| Feb 2026 | 0 | 4 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 4 |
| Jul 2026 | 0 | 2 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 2 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 11, 2020 Filed Aug 13, 2020 20:31 UTC |
DRISCOLL FREDERICK WDirector
|
SaleCommon Stock | 5,300 | $10.77 | $57,064.57 |
DisclosureSEC source: 0001209191-20-046606 · doc4.xml · nonDerivative · entry 3 DRISCOLL FREDERICK W · CIK 0001129890 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,235 F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person. F4 · price: Represents the weighted average share price of an aggregate total of 5,300 shares sold in the price range of $10.50 to $11.07 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 20:31 UTC |
DRISCOLL FREDERICK WDirector
|
SaleCommon Stock | 10,000 | $9.98 | $99,787.00 |
DisclosureSEC source: 0001209191-20-046606 · doc4.xml · nonDerivative · entry 2 DRISCOLL FREDERICK W · CIK 0001129890 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,535 F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person. F3 · price: Represents the weighted average share price of an aggregate total of 10,000 shares sold in the price range of $9.94 to $10.0301 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 20:31 UTC |
DRISCOLL FREDERICK WDirector
|
SaleCommon Stock | 50,000 | $10.22 | $511,200.00 |
DisclosureSEC source: 0001209191-20-046606 · doc4.xml · nonDerivative · entry 1 DRISCOLL FREDERICK W · CIK 0001129890 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,535 F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person. F2 · price: Represents the weighted average share price of an aggregate total of 50,000 shares sold in the price range of $9.89 to $10.7275 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 23:13 UTC |
Thomas John CDirector
|
SaleCommon Stock | 210 | $10.55 | $2,215.50 |
DisclosureSEC source: 0001209191-20-046677 · doc4.xml · nonDerivative · entry 2 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310,069 F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person. Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 23:13 UTC |
Thomas John CDirector
|
SaleCommon Stock | 19,790 | $10.35 | $204,826.50 |
DisclosureSEC source: 0001209191-20-046677 · doc4.xml · nonDerivative · entry 1 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310,279 F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person. Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 23:10 UTC |
Cohen CherylDirector
|
SaleCommon Stock | 30,000 | $9.96 | $298,785.00 |
DisclosureSEC source: 0001209191-20-046675 · doc4.xml · nonDerivative · entry 1 Cohen Cheryl · CIK 0001529371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,925 F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person. F2 · price: Represents the weighted average share price of an aggregate total of 30,000 shares sold in the price range of $9.91 to $9.99 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| August 02, 2020 Filed Aug 4, 2020 21:05 UTC |
Nelson SonjaChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-044914 · doc4.xml · derivative · entry 3 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 10,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NantKwest, Inc. common stock. F3 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 25% of the RSUs will vest on August 2, 2019, and 25% of the RSUs will vest annually thereafter, such that the award will be fully vested on August 2, 2022. F3 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 25% of the RSUs will vest on August 2, 2019, and 25% of the RSUs will vest annually thereafter, such that the award will be fully vested on August 2, 2022. Read SEC document |
| August 02, 2020 Filed Aug 4, 2020 21:05 UTC |
Nelson SonjaChief Financial Officer
|
Tax withholdingCommon Stock | 3,458 | $11.18 | $38,660.44 |
DisclosureSEC source: 0001209191-20-044914 · doc4.xml · nonDerivative · entry 2 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,952 Read SEC document |
| August 02, 2020 Filed Aug 4, 2020 21:05 UTC |
Nelson SonjaChief Financial Officer
|
Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-044914 · doc4.xml · nonDerivative · entry 1 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,410 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Each restricted stock unit represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · price: On August 2, 2020, 10,000 of the reporting person's restricted stock units vested. The closing price of the issuer's common stock on July 31, 2020 was the price used to calculate the shares withheld. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 1,565 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · derivative · entry 8 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,120 Underlying: Common Stock · 1,565 shares Expires 2025-02-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is January 16, 2015. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 1,565 | $15.50 | $24,258.13 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · nonDerivative · entry 5 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170,540 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F3 · price: Represents the weighted average share price of an aggregate total of 1,565 shares sold in the price range of $15.50 to $15.5050 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 1,565 | $2.00 | $3,127.50 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · nonDerivative · entry 4 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,172,105 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 87,705 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · derivative · entry 7 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 393,685 Underlying: Common Stock · 87,705 shares Expires 2025-02-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is January 16, 2015. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 40,730 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · derivative · entry 6 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,967 Underlying: Common Stock · 40,730 shares Expires 2024-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 128,435 | $15.53 | $1,995,070.76 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · nonDerivative · entry 3 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170,540 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F2 · price: Represents the weighted average share price of an aggregate total of 128,435 shares sold in the price range of $15.50 to $15.70 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 87,705 | $2.00 | $175,269.67 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · nonDerivative · entry 2 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,298,975 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 20:05 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 40,730 | $1.76 | $71,497.44 |
DisclosureSEC source: 0001209191-20-043298 · doc4.xml · nonDerivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,211,270 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 08, 2020 Filed Jul 10, 2020 21:00 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 39,950 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001209191-20-042183 · doc4.xml · derivative · entry 3 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,697 Underlying: Common Stock · 39,950 shares Expires 2024-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events. Read SEC document |
| July 08, 2020 Filed Jul 10, 2020 21:00 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 39,950 | $13.14 | $524,759.23 |
DisclosureSEC source: 0001209191-20-042183 · doc4.xml · nonDerivative · entry 2 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170,540 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F2 · price: Represents the weighted average share price of an aggregate total of 39,950 shares sold in the price range of $13.00 to $13.29 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| July 08, 2020 Filed Jul 10, 2020 21:00 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 39,950 | $1.76 | $70,128.23 |
DisclosureSEC source: 0001209191-20-042183 · doc4.xml · nonDerivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,210,490 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 22:32 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 9 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001209191-20-040651 · doc4.xml · derivative · entry 3 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,647 Underlying: Common Stock · 9 shares Expires 2024-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 22:32 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 9 | $13.00 | $117.00 |
DisclosureSEC source: 0001209191-20-040651 · doc4.xml · nonDerivative · entry 2 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170,540 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 22:32 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 9 | $1.76 | $15.80 |
DisclosureSEC source: 0001209191-20-040651 · doc4.xml · nonDerivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170,549 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 29, 2020 Filed Jun 29, 2020 23:36 UTC |
SOON-SHIONG PATRICKDirector · Chairman and CEO · 10% owner
Cambridge Equities, LP10% owner
MP 13 Ventures, LLC10% owner
|
PurchaseCommon Stock | 3,710,000 | $12.12 | $44,965,200.00 |
DisclosureSEC source: 0001209191-20-039238 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,750,750 Read SEC document |
| June 23, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 29,609 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · derivative · entry 11 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,656 Underlying: Common Stock · 29,609 shares Expires 2024-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events. Read SEC document |
| June 23, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 29,609 | $13.01 | $385,133.15 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 8 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170,540 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F6 · price: Represents the weighted average share price of an aggregate total of 29,609 shares sold in the price range of $13.00 to $13.04 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 23, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 29,609 | $1.76 | $51,975.64 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 7 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200,149 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 136,729 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · derivative · entry 10 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,265 Underlying: Common Stock · 136,729 shares Expires 2024-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 10,432 | $13.01 | $135,708.84 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 6 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,170,540 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F5 · price: Represents the weighted average share price of an aggregate total of 10,432 shares sold in the price range of $13.00 to $13.10 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 80,000 | $10.55 | $843,664.00 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 5 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,180,972 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F4 · price: Represents the weighted average share price of an aggregate total of 80,000 shares sold in the price range of $10.50 to $10.88 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 66,263 | $9.43 | $624,807.08 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 4 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,260,972 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F3 · price: Represents the weighted average share price of an aggregate total of 66,263 shares sold in the price range of $9.25 to $9.71 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 136,729 | $1.76 | $240,014.09 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 3 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,327,235 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 19, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionStock Option (right to buy) · Derivative | 9,337 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · derivative · entry 9 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,994 Underlying: Common Stock · 9,337 shares Expires 2024-12-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events. Read SEC document |
| June 19, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 13,737 | $9.00 | $123,637.12 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 2 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,190,506 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F2 · price: Represents the weighted average share price of an aggregate total of 13,737 shares sold in the price range of $9.00 to $9.02 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 19, 2020 Filed Jun 24, 2020 01:45 UTC |
Simon Barry J.Director · See remarks
|
Exercise / conversionCommon Stock | 9,337 | $1.76 | $16,390.17 |
DisclosureSEC source: 0001209191-20-038679 · doc4.xml · nonDerivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,204,243 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 18:23 UTC |
GORLIN STEVEDirector
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001209191-20-036037 · doc4.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-06-10 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 22:22 UTC |
DRISCOLL FREDERICK WDirector
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001209191-20-036034 · doc4.xml · derivative · entry 1 DRISCOLL FREDERICK W · CIK 0001129890 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-06-10 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 22:25 UTC |
Thomas John CDirector
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001209191-20-036040 · doc4.xml · derivative · entry 1 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-06-10 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 22:20 UTC |
Cohen CherylDirector
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001209191-20-036032 · doc4.xml · derivative · entry 1 Cohen Cheryl · CIK 0001529371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-06-10 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 22:19 UTC |
BLASZYK MICHAEL DDirector
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001209191-20-036030 · doc4.xml · derivative · entry 1 BLASZYK MICHAEL D · CIK 0001371407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-06-10 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| May 27, 2020 Filed May 29, 2020 20:27 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 75,000 | $7.56 | $567,337.50 |
DisclosureSEC source: 0001209191-20-032930 · doc4.xml · nonDerivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,194,906 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F2 · price: Represents the weighted average share price of an aggregate total of 75,000 shares sold in the price range of $7.50 to $7.645 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| May 21, 2020 Filed May 22, 2020 21:37 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 36,932 | $5.52 | $203,698.45 |
DisclosureSEC source: 0001209191-20-031845 · doc4.xml · nonDerivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,269,906 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F2 · price: Represents the weighted average share price of an aggregate total of 36,932 shares sold in the price range of $5.50 to $5.555 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| May 11, 2020 Filed May 14, 2020 00:04 UTC |
Simon Barry J.Director · See remarks
|
SaleCommon Stock | 28,068 | $5.50 | $154,508.73 |
DisclosureSEC source: 0001209191-20-029014 · doc4.xml · nonDerivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,306,838 F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019. F2 · price: Represents the weighted average share price of an aggregate total of 28,068 shares sold in the price range of $5.50 to $5.5350 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 17:47 UTC |
Nelson SonjaChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-020979 · doc4.xml · derivative · entry 3 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 50% of the RSUs vested on March 23, 2018, and the remaining 50% of the RSUs vested on March 23, 2020. F2 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 50% of the RSUs vested on March 23, 2018, and the remaining 50% of the RSUs vested on March 23, 2020. Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 17:47 UTC |
Nelson SonjaChief Financial Officer
|
Tax withholdingCommon Stock | 6,132 | $2.82 | $17,292.24 |
DisclosureSEC source: 0001209191-20-020979 · doc4.xml · nonDerivative · entry 2 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,410 Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 17:47 UTC |
Nelson SonjaChief Financial Officer
|
Exercise / conversionCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-020979 · doc4.xml · nonDerivative · entry 1 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,542 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Each restricted stock unit represents a contingent right to receive one share of NantKwest, Inc. common stock. Read SEC document |
| December 16, 2019 Filed Dec 17, 2019 00:40 UTC |
Thomas John CDirector
|
SaleCommon Stock | 10,000 | $3.14 | $31,400.00 |
DisclosureSEC source: 0001209191-19-060767 · doc4.xml · nonDerivative · entry 3 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,069 F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted on September 5, 2019 by the reporting person. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 00:40 UTC |
Thomas John CDirector
|
SaleCommon Stock | 10,000 | $2.98 | $29,800.00 |
DisclosureSEC source: 0001209191-19-060767 · doc4.xml · nonDerivative · entry 2 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,069 F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted on September 5, 2019 by the reporting person. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 00:40 UTC |
Thomas John CDirector
|
SaleCommon Stock | 10,000 | $2.48 | $24,800.00 |
DisclosureSEC source: 0001209191-19-060767 · doc4.xml · nonDerivative · entry 1 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,069 F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted on September 5, 2019 by the reporting person. Read SEC document |
| December 12, 2019 Filed Dec 12, 2019 23:29 UTC |
Thomas John CDirector
|
SaleCommon Stock | 10,000 | $1.99 | $19,918.00 |
DisclosureSEC source: 0001209191-19-060285 · doc4.xml · nonDerivative · entry 1 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,069 F1 · kind: The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted on September 5, 2019 by the reporting person. F2 · price: Represents the weighted average share price of an aggregate total of 10,000 shares sold in the price range of $1.98 to $2.01 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.