Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NantHealth, Inc.NH · Entity 109592 | 10% owner | August 28, 2023 | August 30, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NantHealth, Inc.
Report date August 28, 2023 · Filed August 30, 2023
Jointly reported with SOON-SHIONG PATRICK, CALIFORNIA CAPITAL EQUITY, LLC, Nant Capital, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 15,384,616 |
Reported balance
After 2023-08-28 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2023-08-28 · Purchase · Acquired 15,384,616 · Balance 15,384,616 F1: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F2: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 15,921,888 |
Reported balance
After 2023-08-28 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2023-08-28 · Purchase · Acquired 537,272 · Balance 15,921,888 F1: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F3: $10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note. F2: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,453,507 |
Reported balance
Holding disclosure · report date 2023-08-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,453,507 F4: Includes (i) 4,147,469 shares of our common stock held by NantWorks, LLC; (ii) 193,426 shares of our common stock held by NantOmics, LLC; and (iii) 112,612 shares of our common stock held by Cambridge Equities, LP. NantWorks, LLC is the largest member of NantOmics, LLC, holding approximately 84% of the outstanding equity and approximately 99% of the outstanding voting equity. Dr. Patrick Soon-Shiong, is the controlling member of NantWorks, LLC with voting and dispositive power over the shares of the stock held by NantWorks, LLC. Dr. Patrick Soon-Shiong, indirectly owns all of the equity interests in NantWorks, LLC and Cambridge Equities, LP, and has voting and dispositive powers over the shares. F5: On December 15, 2022, the issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split") of its outstanding shares of Common Stock. The numbers of shares of Common Stock reported on this Form 4 have been adjusted to reflect the Reverse Split unless otherwise noted. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement.
F2: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.
F3: $10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note.
F4: Includes (i) 4,147,469 shares of our common stock held by NantWorks, LLC; (ii) 193,426 shares of our common stock held by NantOmics, LLC; and (iii) 112,612 shares of our common stock held by Cambridge Equities, LP. NantWorks, LLC is the largest member of NantOmics, LLC, holding approximately 84% of the outstanding equity and approximately 99% of the outstanding voting equity. Dr. Patrick Soon-Shiong, is the controlling member of NantWorks, LLC with voting and dispositive power over the shares of the stock held by NantWorks, LLC. Dr. Patrick Soon-Shiong, indirectly owns all of the equity interests in NantWorks, LLC and Cambridge Equities, LP, and has voting and dispositive powers over the shares.
F5: On December 15, 2022, the issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split") of its outstanding shares of Common Stock. The numbers of shares of Common Stock reported on this Form 4 have been adjusted to reflect the Reverse Split unless otherwise noted.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 28, 2023 Filed Aug 30, 2023 17:26 UTC | NantHealth, Inc. NH · Entity 109592 | PurchaseCommon Stock | 537,272 | $18.61 | $9,999,975.10 |
DisclosureSEC source: 0000950170-23-045521 · ownership.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 15,921,888 F1 · shares: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F3 · price: $10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note. F2 · ownership.nature: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 17:26 UTC | NantHealth, Inc. NH · Entity 109592 | PurchaseCommon Stock | 15,384,616 | $0.39 | $6,000,000.24 |
DisclosureSEC source: 0000950170-23-045521 · ownership.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 15,384,616 F1 · shares: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F2 · ownership.nature: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document |
| April 13, 2021 Filed Apr 15, 2021 18:04 UTC | NantHealth, Inc. NH · Entity 109592 | Other5.50% Convertible Senior Notes due 2021 · Derivative | 5,000,000 | $5,000,000.00 | $25,000,000,000,000.00 |
DisclosureSEC source: 0000899243-21-015976 · doc4.xml · derivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 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: 5,000,000 Underlying: Common Stock · 411,946 shares Expires 2021-12-15 F4 · derivative.exercise_price: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F5 · kind: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I. F5 · shares: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I. F6 · derivative.exercise_date: The Notes will be convertible at the option of the reporting persons only upon the satisfaction of certain conditions prior to the close of business on the business day immediately preceding September 15, 2021. Thereafter, the Notes will be convertible at the option of the reporting persons at any time or after September 15, 2021 until the close of business on the business day immediately preceding the maturity date. The Notes will be convertible into cash, shares of the issuer's common stock, or a combination thereof, at the issuer's election. F4 · derivative.underlying_shares: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F7 · ownership.nature: The Notes are held by Cambridge Equities, an entity affiliated with MP 13 Ventures, LLC who is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the convertible notes held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the convertible notes held by Cambridge Equities. Read SEC document |
| April 13, 2021 Filed Apr 15, 2021 18:04 UTC | NantHealth, Inc. NH · Entity 109592 | PurchaseCommon Stock | 1,689,189 | $2.96 | $4,999,999.44 |
DisclosureSEC source: 0000899243-21-015976 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 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: 1,689,189 F1 · ownership.nature: Shares are held by Cambridge Equities, LP ("Cambridge Equities"), an entity affiliated with MP 13 Ventures, LLC ("MP 13 Ventures") who is the general partner of 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 |
| November 06, 2019 Filed Nov 8, 2019 09:00 UTC | NantHealth, Inc. NH · Entity 109592 | GiftCommon Stock | 5,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-026921 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 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: 62,214,114 F1 · kind: Shares transferred for no value by NantWorks, LLC ("NantWorks") to (i) MIMI TRUST I OF DE 2009; (ii) STEVE TRUST I OF DE 2009; (iii) MIMI TRUST II OF DE 2009; and (iv) STEVE TRUST II OF DE 2009 (each a "Grantee"). Each Grantee received a total of 1,250,000 shares. F2 · ownership.nature: Shares held by NantWorks. California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the shares held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. 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.