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 |
|---|---|---|---|---|---|---|
| September 09, 2019 Filed Sep 9, 2019 20:42 UTC |
Thomas John CDirector
|
SaleCommon Stock | 13,956 | $1.24 | $17,305.44 |
DisclosureSEC source: 0001209191-19-048906 · doc4.xml · nonDerivative · entry 3 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,069 Read SEC document |
| September 06, 2019 Filed Sep 9, 2019 20:42 UTC |
Thomas John CDirector
|
SaleCommon Stock | 7,080 | $1.24 | $8,779.20 |
DisclosureSEC source: 0001209191-19-048906 · doc4.xml · nonDerivative · entry 2 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,025 Read SEC document |
| September 05, 2019 Filed Sep 9, 2019 20:42 UTC |
Thomas John CDirector
|
SaleCommon Stock | 2,964 | $1.25 | $3,705.00 |
DisclosureSEC source: 0001209191-19-048906 · doc4.xml · nonDerivative · entry 1 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,105 Read SEC document |
| August 02, 2019 Filed Aug 5, 2019 17:46 UTC |
Nelson SonjaChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-044647 · doc4.xml · derivative · entry 3 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 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. 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: 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. 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: 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, 2019 Filed Aug 5, 2019 17:46 UTC |
Nelson SonjaChief Financial Officer
|
Tax withholdingCommon Stock | 3,458 | $1.27 | $4,391.66 |
DisclosureSEC source: 0001209191-19-044647 · doc4.xml · nonDerivative · entry 2 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,542 Read SEC document |
| August 02, 2019 Filed Aug 5, 2019 17:46 UTC |
Nelson SonjaChief Financial Officer
|
Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-044647 · doc4.xml · nonDerivative · entry 1 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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 |
| June 06, 2019 Filed Jun 7, 2019 16:43 UTC |
GORLIN STEVEDirector
|
GrantCommon Stock | 92,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035595 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,592 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: 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 RSUs subject to the award will vest on the earlier to occur of June 6, 2020 or the date immediately preceding the 2020 annual meeting of stockholders. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:41 UTC |
DRISCOLL FREDERICK WDirector
|
GrantCommon Stock | 92,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035583 · doc4.xml · nonDerivative · entry 1 DRISCOLL FREDERICK W · CIK 0001129890 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,535 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: 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 RSUs subject to the award will vest on the earlier to occur of June 6, 2020 or the date immediately preceding the 2020 annual meeting of stockholders. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:47 UTC |
Thomas John CDirector
|
GrantCommon Stock | 92,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035606 · doc4.xml · nonDerivative · entry 1 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 394,069 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: 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 RSUs subject to the award will vest on the earlier to occur of June 6, 2020 or the date immediately preceding the 2020 annual meeting of stockholders. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:38 UTC |
Cohen CherylDirector
|
GrantCommon Stock | 300,925 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035573 · doc4.xml · nonDerivative · entry 1 Cohen Cheryl · CIK 0001529371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,925 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) 1/3 of the RSUs shall vest annually beginning on June 6, 2020 Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:35 UTC |
BLASZYK MICHAEL DDirector
|
GrantCommon Stock | 92,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035558 · doc4.xml · nonDerivative · entry 1 BLASZYK MICHAEL D · CIK 0001371407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,667 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: 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 RSUs subject to the award will vest on the earlier to occur of June 6, 2020 or the date immediately preceding the 2020 annual meeting of stockholders. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC |
SOON-SHIONG PATRICKDirector · Chairman and CEO · 10% owner
Cambridge Equities, LP10% owner
MP 13 Ventures, LLC10% owner
|
Exercise / conversionStock Option (right to buy) · Derivative | 1,851,500 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001209191-19-020891 · doc4.xml · derivative · entry 6 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: 0 Underlying: Common Stock · 1,851,500 shares Expires 2019-03-24 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 forty-eighth (1/48th) 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 fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is March 24, 2015. The shares subject to the option shall fully vest and become exercisable upon a change in control, as defined in the reporting person's employment agreement. If the reporting person's employment is terminated without "cause" or if the reporting person resigns for "good reason" (as such terms are defined in the reporting person's employment agreement), the shares subject to the option shall fully vest and become exercisable. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC |
SOON-SHIONG PATRICKDirector · Chairman and CEO · 10% owner
Cambridge Equities, LP10% owner
MP 13 Ventures, LLC10% owner
|
OtherWarrant (right to buy) · Derivative | 17,589,250 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001209191-19-020891 · doc4.xml · derivative · entry 5 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: 0 Underlying: Common Stock · 17,589,250 shares Expires 2019-03-24 F4 · derivative.exercise_date: 185,150 of the shares subject to the warrant vested and became exercisable monthly for forty (40) months beginning April 1, 2015. The remaining 10,183,250 shares subject to the warrant vested and became exercisable upon the completion of certain milestones as defined in the warrant. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC |
SOON-SHIONG PATRICKDirector · Chairman and CEO · 10% owner
Cambridge Equities, LP10% owner
MP 13 Ventures, LLC10% owner
|
Exercise / conversionCommon Stock | 1,851,500 | $2.20 | $4,070,152.45 |
DisclosureSEC source: 0001209191-19-020891 · doc4.xml · nonDerivative · entry 2 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: 20,040,750 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 |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC |
SOON-SHIONG PATRICKDirector · Chairman and CEO · 10% owner
Cambridge Equities, LP10% owner
MP 13 Ventures, LLC10% owner
|
OtherCommon Stock | 17,589,250 | $2.00 | $35,150,357.20 |
DisclosureSEC source: 0001209191-19-020891 · 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: 18,189,250 Read SEC document |
| November 29, 2018 Filed Nov 29, 2018 19:36 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 34,019 | $1.70 | $57,784.67 |
DisclosureSEC source: 0001209191-18-060310 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 138,349 F3 · price: Represents the weighted average share price of an aggregate total of 34,019 shares sold in the price range of $1.659 to $1.705 by the reporting person's spouse. 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 |
| November 29, 2018 Filed Dec 3, 2018 17:44 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 138,349 | $1.65 | $228,275.85 |
DisclosureSEC source: 0001209191-18-060644 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 0 Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 19:36 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 17,140 | $1.76 | $30,125.26 |
DisclosureSEC source: 0001209191-18-060310 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 172,368 F2 · price: Represents the weighted average share price of an aggregate total of 17,140 shares sold in the price range of $1.75 to $1.78 by the reporting person's spouse. 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 |
| November 27, 2018 Filed Nov 29, 2018 19:36 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 100,000 | $1.75 | $175,200.00 |
DisclosureSEC source: 0001209191-18-060310 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 189,508 F1 · price: Represents the weighted average share price of an aggregate total of 100,000 shares sold in the price range of $1.75 to $1.7768 by the reporting person's spouse. 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 |
| November 23, 2018 Filed Nov 26, 2018 19:21 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 9,312 | $2.01 | $18,717.12 |
DisclosureSEC source: 0001209191-18-059963 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 289,508 Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 19:21 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 22,900 | $2.02 | $46,216.78 |
DisclosureSEC source: 0001209191-18-059963 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 298,820 F1 · price: Represents the weighted average share price of an aggregate total of 22,900 shares sold in the price range of $2.01 to $2.06 by the reporting person's spouse. 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 |
| November 14, 2018 Filed Nov 14, 2018 20:07 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 115,930 | $2.21 | $255,718.39 |
DisclosureSEC source: 0001209191-18-058641 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: Represents the weighted average share price of an aggregate total of 115,930 shares sold in the price range of $2.17 to $2.40 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 |
| November 13, 2018 Filed Nov 14, 2018 20:07 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 33,300 | $2.40 | $79,886.70 |
DisclosureSEC source: 0001209191-18-058641 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,930 F2 · price: Represents the weighted average share price of an aggregate total of 33,300 shares sold in the price range of $2.38 to $2.47 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 |
| November 12, 2018 Filed Nov 14, 2018 20:07 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 47,050 | $2.43 | $114,463.24 |
DisclosureSEC source: 0001209191-18-058641 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,230 F1 · price: Represents the weighted average share price of an aggregate total of 47,050 shares sold in the price range of $2.40 to $2.62 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 27, 2018 Filed Aug 27, 2018 19:47 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 18,300 | $3.09 | $56,462.82 |
DisclosureSEC source: 0001209191-18-048571 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,280 F3 · price: Represents the weighted average share price of an aggregate total of 18,300 shares sold in the price range of $3.05 to $3.14 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 27, 2018 Filed Aug 29, 2018 20:58 UTC |
Nelson SonjaChief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-18-048877 · doc4.xml · derivative · entry 1 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-08-27 F1 · derivative.exercise_date: Subject to the award recipient's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option shall vest as follows: twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on August 27, 2019, and thereafter the remaining shares subject to the option shall vest and become exercisable in equal monthly installments over thirty six (36) months, such that the option will be fully vested and exercisable on August 27, 2022. Read SEC document |
| August 27, 2018 Filed Aug 30, 2018 01:00 UTC |
Simon Barry J.Director · See remarks
|
GrantStock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-18-048878 · doc4.xml · derivative · entry 1 Simon Barry J. · CIK 0001647994 · Director · See remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-08-27 F1 · derivative.exercise_date: Subject to the award recipient's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option shall vest as follows: twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on August 27, 2019, and thereafter the remaining shares subject to the option shall vest and become exercisable in equal monthly installments over thirty six (36) months, such that the option will be fully vested and exercisable on August 27, 2022. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 19:47 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 10,225 | $3.07 | $31,340.65 |
DisclosureSEC source: 0001209191-18-048571 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,580 F2 · price: Represents the weighted average share price of an aggregate total of 10,225 shares sold in the price range of $3.04 to $3.11 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 23, 2018 Filed Aug 27, 2018 19:47 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 21,475 | $3.06 | $65,709.21 |
DisclosureSEC source: 0001209191-18-048571 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,805 F1 · price: Represents the weighted average share price of an aggregate total of 21,475 shares sold in the price range of $3.03 to $3.105 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, 2018 Filed Aug 3, 2018 17:40 UTC |
Nelson SonjaChief Financial Officer
|
GrantRestricted Stock Units · Derivative | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-045353 · doc4.xml · derivative · entry 1 Nelson Sonja · CIK 0001674905 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires not disclosed 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: 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. 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: 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 |
| July 11, 2018 Filed Jul 13, 2018 23:26 UTC |
SOON-SHIONG PATRICKDirector · Chairman and CEO · 10% owner
Cambridge Equities, LP10% owner
MP 13 Ventures, LLC10% owner
|
Exercise / conversionWarrant (right to buy) · Derivative | 9,257 | $0.00 Strike: $1.62 | $0.00 |
DisclosureSEC source: 0001209191-18-042582 · doc4.xml · derivative · entry 4 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: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 9,257 shares Expires 2018-07-27 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: Warrant was exercisable on the original date of issuance. F4 · ownership.nature: Warrant held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities. Read SEC document |
| July 11, 2018 Filed Jul 13, 2018 23:26 UTC |
SOON-SHIONG PATRICKDirector · Chairman and CEO · 10% owner
Cambridge Equities, LP10% owner
MP 13 Ventures, LLC10% owner
|
Exercise / conversionCommon Stock | 9,257 | $1.62 | $15,000.04 |
DisclosureSEC source: 0001209191-18-042582 · 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: Indirect · See footnote Disclosed balance after: 40,565,814 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 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document |
| June 07, 2018 Filed Jun 7, 2018 20:21 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 26,957 | $3.66 | $98,614.10 |
DisclosureSEC source: 0001209191-18-036531 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 321,720 F3 · price: Represents the weighted average share price of an aggregate total of 26,957 shares sold in the price range of $3.62 to $3.75 by the reporting person's spouse. 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 07, 2018 Filed Jun 11, 2018 20:16 UTC |
DRISCOLL FREDERICK WDirector
|
GrantCommon Stock | 27,322 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-036923 · doc4.xml · nonDerivative · entry 1 DRISCOLL FREDERICK W · CIK 0001129890 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,943 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: 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 RSUs subject to the award will vest on the earlier to occur of June 7, 2019 or the date immediately preceding the 2019 annual meeting of stockholders. Read SEC document |
| June 07, 2018 Filed Jun 11, 2018 20:17 UTC |
Thomas John CDirector
|
GrantCommon Stock | 27,322 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-036927 · doc4.xml · nonDerivative · entry 1 Thomas John C · CIK 0001424620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,477 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: 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 RSUs subject to the award will vest on the earlier to occur of June 7, 2019 or the date immediately preceding the 2019 annual meeting of stockholders. Read SEC document |
| June 07, 2018 Filed Jun 11, 2018 20:15 UTC |
BLASZYK MICHAEL DDirector
|
GrantCommon Stock | 27,322 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-036919 · doc4.xml · nonDerivative · entry 1 BLASZYK MICHAEL D · CIK 0001371407 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,075 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: 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 RSUs subject to the award will vest on the earlier to occur of June 7, 2019 or the date immediately preceding the 2019 annual meeting of stockholders. Read SEC document |
| June 06, 2018 Filed Jun 7, 2018 20:21 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 23,574 | $3.79 | $89,272.38 |
DisclosureSEC source: 0001209191-18-036531 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 348,677 F2 · price: Represents the weighted average share price of an aggregate total of 23,574 shares sold in the price range of $3.77 to $3.815 by the reporting person's spouse. 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 05, 2018 Filed Jun 7, 2018 20:21 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 28,925 | $3.75 | $108,338.59 |
DisclosureSEC source: 0001209191-18-036531 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 372,251 F1 · price: Represents the weighted average share price of an aggregate total of 28,925 shares sold in the price range of $3.74 to $3.79 by the reporting person's spouse. 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 30, 2018 Filed Jun 1, 2018 16:23 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 2,724 | $3.88 | $10,563.94 |
DisclosureSEC source: 0001209191-18-034681 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 401,176 F1 · price: Represents the weighted average share price of an aggregate total of 2,724 shares sold in the price range of $3.86 to $3.89 by the reporting person's spouse. 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 29, 2018 Filed May 29, 2018 19:53 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 100 | $3.90 | $389.50 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 6 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 403,900 Read SEC document |
| May 29, 2018 Filed May 29, 2018 19:53 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 500 | $3.90 | $1,950.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 5 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 404,000 Read SEC document |
| May 29, 2018 Filed May 29, 2018 19:53 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 1,500 | $3.89 | $5,835.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 4 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 404,500 Read SEC document |
| May 25, 2018 Filed May 29, 2018 19:53 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 200 | $3.98 | $796.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 406,000 Read SEC document |
| May 25, 2018 Filed May 29, 2018 19:53 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 3,400 | $3.97 | $13,498.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 406,200 Read SEC document |
| May 24, 2018 Filed May 29, 2018 19:53 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 303 | $3.96 | $1,199.88 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 409,600 Read SEC document |
| May 22, 2018 Filed May 23, 2018 21:38 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 8,546 | $3.81 | $32,560.26 |
DisclosureSEC source: 0001209191-18-032796 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 409,903 F2 · price: Represents closing share price on May 22, 2018. Read SEC document |
| May 22, 2018 Filed May 24, 2018 16:09 UTC Amendment |
GORLIN STEVEDirector
|
SaleCommon Stock | 8,546 | $3.91 | $33,431.10 |
DisclosureSEC source: 0001209191-18-032966 · doc4a.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 409,903 F2 · price: This amendment is being filed to correct the weighted average share price for shares sold May 21, 2018 and May 22, 2018 as reported in the Form 4 filed on May 23, 2018. F3 · price: Represents the weighted average share price of an aggregate total of 8,546 shares sold in the price range of $3.91 to $3.925 by the reporting person's spouse. 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, 2018 Filed May 23, 2018 21:38 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 5,557 | $3.90 | $21,672.30 |
DisclosureSEC source: 0001209191-18-032796 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 418,449 F1 · price: Represents closing share price on May 21, 2018. Read SEC document |
| May 21, 2018 Filed May 24, 2018 16:09 UTC Amendment |
GORLIN STEVEDirector
|
SaleCommon Stock | 5,557 | $4.00 | $22,216.89 |
DisclosureSEC source: 0001209191-18-032966 · doc4a.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 418,449 F1 · price: Represents the weighted average share price of an aggregate total of 5,557 shares sold in the price range of $3.97 to $4.01 by the reporting person's spouse. 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. F2 · price: This amendment is being filed to correct the weighted average share price for shares sold May 21, 2018 and May 22, 2018 as reported in the Form 4 filed on May 23, 2018. Read SEC document |
| May 18, 2018 Filed May 22, 2018 20:41 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 15,971 | $3.97 | $63,412.86 |
DisclosureSEC source: 0001209191-18-032482 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 424,006 F1 · price: Represents the weighted average share price of an aggregate total of 15,971 shares sold in the price range of $3.97 to $4.00 by the reporting person's spouse. 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.