Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Sorrento Therapeutics, Inc.
Report date September 12, 2018 · Filed September 14, 2018
Jointly reported with ABG Management Ltd, ABG Innovation-SO Ltd, ABG SRNE Ltd, Ally Bridge Group Capital Partners II, L.P., Ally Bridge Group Innovation Capital Partners III, L.P., Ally Bridge LB Healthcare Master Fund Ltd, Ally Bridge LB Management Ltd, Li Bin, Yu Fan
Section 16 reporting ended · disclosed 2018-09-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough ABG II-SO Limited | 1,013,020 |
Last balance in matching sequence
After 2018-09-13 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-09-12 · Sale · Disposed 189,754 · Balance 1,120,834 F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: ABG II-SO directly owns 1,013,020 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Row 2 · 2018-09-13 · Sale · Disposed 29,137 · Balance 1,091,697 F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: ABG II-SO directly owns 1,013,020 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Row 3 · 2018-09-13 · Sale · Disposed 78,677 · Balance 1,013,020 F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5: ABG II-SO directly owns 1,013,020 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. |
| Common StockSEC Table I · non-derivative | IndirectThrough Ally Bridge LB Healthcare Master Fund Limited | 1,328,529 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,328,529 F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F6: ABG LB directly owns (i) 1,328,529 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited. |
| Common StockSEC Table I · non-derivative | IndirectThrough ABG SRNE Limited | 3,041,759 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 3,041,759 F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F7: ABG SRNE directly owns (i) 3,041,759 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. |
| Common StockSEC Table I · non-derivative | IndirectThrough ABG Innovation-SO Limited | 1,408,027 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 1,408,027 F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F8: Ally Bridge Group Innovation Capital Partners III, L.P. is the owner of the sole voting share of ABG Innovation-SO Limited, which directly owns 1,408,027 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.50 · Expires 2019-05-31 | IndirectThrough Ally Bridge LB Healthcare Master Fund Limited | 432,432 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 432,432 F9: The warrants are exercisable at any time on or after May 31, 2016. F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F6: ABG LB directly owns (i) 1,328,529 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.50 · Expires 2019-05-31 | IndirectThrough ABG SRNE Limited | 432,432 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 432,432 F9: The warrants are exercisable at any time on or after May 31, 2016. F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F7: ABG SRNE directly owns (i) 3,041,759 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.50 · Expires 2019-06-07 | IndirectThrough ABG SRNE Limited | 540,540 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 540,540 F10: The warrants are exercisable at any time on or after June 7, 2016. F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F7: ABG SRNE directly owns (i) 3,041,759 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act").
F2: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company,
F3: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited.
F4: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
F5: ABG II-SO directly owns 1,013,020 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd.
F6: ABG LB directly owns (i) 1,328,529 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited.
F7: ABG SRNE directly owns (i) 3,041,759 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd.
F8: Ally Bridge Group Innovation Capital Partners III, L.P. is the owner of the sole voting share of ABG Innovation-SO Limited, which directly owns 1,408,027 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd.
F9: The warrants are exercisable at any time on or after May 31, 2016.
F10: The warrants are exercisable at any time on or after June 7, 2016.
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 |
|---|---|---|---|---|---|---|
| September 13, 2018 Filed Sep 14, 2018 16:12 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 78,677 | $4.92 | $386,768.26 |
DisclosureSEC source: 0001209191-18-051069 · doc4.xml · nonDerivative · entry 3 ABG Management Ltd · CIK 0001668027 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Li Bin · CIK 0001668219 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 1,013,020 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 1,013,020 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| September 13, 2018 Filed Sep 14, 2018 16:12 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 29,137 | $5.01 | $145,856.91 |
DisclosureSEC source: 0001209191-18-051069 · doc4.xml · nonDerivative · entry 2 ABG Management Ltd · CIK 0001668027 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Li Bin · CIK 0001668219 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 1,091,697 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 1,013,020 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| September 12, 2018 Filed Sep 14, 2018 16:12 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 189,754 | $5.06 | $960,098.31 |
DisclosureSEC source: 0001209191-18-051069 · doc4.xml · nonDerivative · entry 1 ABG Management Ltd · CIK 0001668027 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Li Bin · CIK 0001668219 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 1,120,834 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 1,013,020 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 08:17 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 150,000 | $7.19 | $1,077,975.00 |
DisclosureSEC source: 0001209191-18-008299 · doc4.xml · nonDerivative · entry 3 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Ally Bridge LB Healthcare Master Fund Limited Disclosed balance after: 1,328,529 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F6 · ownership.nature: ABG LB directly owns (i) 1,328,529 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited. Read SEC document |
| February 06, 2018 Filed Feb 8, 2018 08:17 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 512,912 | $6.75 | $3,464,258.94 |
DisclosureSEC source: 0001209191-18-008299 · doc4.xml · nonDerivative · entry 2 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Ally Bridge LB Healthcare Master Fund Limited Disclosed balance after: 1,478,529 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F6 · ownership.nature: ABG LB directly owns (i) 1,328,529 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 08:35 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 16,973 | $8.00 | $135,848.50 |
DisclosureSEC source: 0001209191-18-008030 · doc4.xml · nonDerivative · entry 4 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG Innovation-SO Limited Disclosed balance after: 1,408,027 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F8 · ownership.nature: Ally Bridge Group Innovation Capital Partners III, L.P. is the owner of the sole voting share of ABG Innovation-SO Limited, which directly owns 1,408,027 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 08:35 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 37,483 | $8.00 | $300,006.44 |
DisclosureSEC source: 0001209191-18-008030 · doc4.xml · nonDerivative · entry 3 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG SRNE Limited Disclosed balance after: 3,041,759 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F7 · ownership.nature: ABG SRNE directly owns (i) 3,041,759 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 08:35 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 16,265 | $8.00 | $130,181.81 |
DisclosureSEC source: 0001209191-18-008030 · doc4.xml · nonDerivative · entry 1 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 1,310,588 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 1,310,588 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 30, 2018 Filed Jan 31, 2018 09:09 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 57,037 | $7.65 | $436,487.05 |
DisclosureSEC source: 0001104659-18-005307 · a4.xml · nonDerivative · entry 7 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG Innovation-SO Limited Disclosed balance after: 1,425,000 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F8 · ownership.nature: Ally Bridge Group Innovation Capital Partners III, L.P. is the owner of the sole voting share of ABG Innovation-SO Limited, which directly owns 1,425,000 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 30, 2018 Filed Jan 31, 2018 09:09 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 124,333 | $7.65 | $951,483.15 |
DisclosureSEC source: 0001104659-18-005307 · a4.xml · nonDerivative · entry 5 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG SRNE Limited Disclosed balance after: 3,079,242 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F7 · ownership.nature: ABG SRNE directly owns (i) 3,079,242 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 30, 2018 Filed Jan 31, 2018 09:09 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 53,786 | $7.65 | $411,608.12 |
DisclosureSEC source: 0001104659-18-005307 · a4.xml · nonDerivative · entry 2 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 1,326,853 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 1,326,853 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 09:09 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 17,963 | $7.61 | $136,631.97 |
DisclosureSEC source: 0001104659-18-005307 · a4.xml · nonDerivative · entry 6 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG Innovation-SO Limited Disclosed balance after: 1,482,037 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F8 · ownership.nature: Ally Bridge Group Innovation Capital Partners III, L.P. is the owner of the sole voting share of ABG Innovation-SO Limited, which directly owns 1,425,000 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 09:09 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 39,667 | $7.61 | $301,719.10 |
DisclosureSEC source: 0001104659-18-005307 · a4.xml · nonDerivative · entry 4 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG SRNE Limited Disclosed balance after: 3,203,575 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F7 · ownership.nature: ABG SRNE directly owns (i) 3,079,242 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 09:09 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SaleCommon Stock | 17,214 | $7.61 | $130,934.85 |
DisclosureSEC source: 0001104659-18-005307 · a4.xml · nonDerivative · entry 1 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner ABG Innovation-SO Ltd · CIK 0001704525 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 1,380,639 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited, a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 1,326,853 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 07:16 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 550,000 | $2.00 | $1,100,000.00 |
DisclosureSEC source: 0001104659-17-025040 · a4.xml · nonDerivative · entry 2 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Ally Bridge LB Healthcare Master Fund Limited See footnote Disclosed balance after: 1,991,441 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (ix) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F3 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG LB directly owns (i) 1,991,441 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited. Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 21:59 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 1,500,000 | $2.00 | $3,000,000.00 |
DisclosureSEC source: 0001104659-17-023841 · a4.xml · nonDerivative · entry 4 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Li Bin · CIK 0001668219 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG Innovation-SO Limited Disclosed balance after: 1,500,000 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited ("ABG Innovation"), a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F8 · ownership.nature: ABG Innovation directly owns 1,500,000 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG Innovation, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 21:59 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 1,000,000 | $2.00 | $2,000,000.00 |
DisclosureSEC source: 0001104659-17-023841 · a4.xml · nonDerivative · entry 1 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Li Bin · CIK 0001668219 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 1,397,853 F1 · ownership.nature: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). F2 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) ABG Innovation-SO Limited ("ABG Innovation"), a British Virgin Islands limited company, F3 · ownership.nature: (ix) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (x) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 1,397,853 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 05, 2017 Filed Jan 9, 2017 08:33 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherCommon Stock | 3,243,242 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-001383 · a4.xml · nonDerivative · entry 3 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG SRNE Limited Disclosed balance after: 3,243,242 F1 · price: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). According to a Form 8-K filing by the Issuer on January 5, 2017, the Issuer consummated a transaction that involved (i) the cancellation of warrants to purchase an aggregate of 1,137,316 shares of Common Stock (the "Warrants") and cancellation of secured promissory notes in an aggregate principal amount of $53,502,315 that were issued to the Issuer, of which $43,502,315 in aggregate principal amount was outstanding as of December 31, 2016 (the "Notes") and (ii) forfeiture of 7,838,259 shares of Common Stock (the "Shares") which were returned to the Issuer. F2 · price: Prior to the forfeiture of the Shares and the cancellation of the Warrants and Notes, the Issuer had 58,721,115 Shares outstanding and warrants to purchase an aggregate of 7,070,314 shares of Common Stock outstanding. The Issuer now has 50,882,856 Shares outstanding and warrants to purchase an aggregate of 5,932,998 shares of Common Stock outstanding. As a result of this transaction, the Reporting Persons' (defined below) collective ownership of the Issuer's securities have increased. F3 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (ix) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F7 · ownership.nature: ABG SRNE directly owns (i) 3,243,242 shares of common stock of the Issuer and (ii) warrants to purchase 972,972 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Innovation Capital Partners III, L.P., as owner of the sole voting share of ABG SRNE, (ii) ABG Management Ltd., as manager of Ally Bridge Group Innovation Capital Partners III, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. Read SEC document |
| January 05, 2017 Filed Jan 9, 2017 08:33 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherCommon Stock | 1,441,441 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-001383 · a4.xml · nonDerivative · entry 2 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Ally Bridge LB Healthcare Master Fund Limited Disclosed balance after: 1,441,441 F1 · price: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). According to a Form 8-K filing by the Issuer on January 5, 2017, the Issuer consummated a transaction that involved (i) the cancellation of warrants to purchase an aggregate of 1,137,316 shares of Common Stock (the "Warrants") and cancellation of secured promissory notes in an aggregate principal amount of $53,502,315 that were issued to the Issuer, of which $43,502,315 in aggregate principal amount was outstanding as of December 31, 2016 (the "Notes") and (ii) forfeiture of 7,838,259 shares of Common Stock (the "Shares") which were returned to the Issuer. F2 · price: Prior to the forfeiture of the Shares and the cancellation of the Warrants and Notes, the Issuer had 58,721,115 Shares outstanding and warrants to purchase an aggregate of 7,070,314 shares of Common Stock outstanding. The Issuer now has 50,882,856 Shares outstanding and warrants to purchase an aggregate of 5,932,998 shares of Common Stock outstanding. As a result of this transaction, the Reporting Persons' (defined below) collective ownership of the Issuer's securities have increased. F3 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (ix) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F6 · ownership.nature: ABG LB directly owns (i) 1,441,441 shares of common stock of the Issuer and (ii) warrants to purchase 432,432 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge LB Management Limited, as manager of ABG LB, (ii) Mr. Fan Yu, as a shareholder and director of Ally Bridge LB Management Limited, and (iii) Mr. Bin Li, as a shareholder and director of Ally Bridge LB Management Limited. Read SEC document |
| January 05, 2017 Filed Jan 9, 2017 08:33 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherCommon Stock | 397,853 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-001383 · a4.xml · nonDerivative · entry 1 ABG Management Ltd · CIK 0001668027 · 10% owner ABG SRNE Ltd · CIK 0001676083 · 10% owner Ally Bridge Group Capital Partners II, L.P. · CIK 0001609313 · 10% owner ABG II-SO Ltd · CIK 0001676141 · 10% owner Ally Bridge LB Healthcare Master Fund Ltd · CIK 0001667354 · 10% owner Ally Bridge LB Management Ltd · CIK 0001668028 · 10% owner Ally Bridge Group Innovation Capital Partners III, L.P. · CIK 0001674513 · 10% owner Yu Fan · CIK 0001668029 · 10% owner Li Bin · CIK 0001668219 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through ABG II-SO Limited Disclosed balance after: 397,853 F1 · price: The Reporting Persons are making this joint, single filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act 1934 as amended (the "Act"). According to a Form 8-K filing by the Issuer on January 5, 2017, the Issuer consummated a transaction that involved (i) the cancellation of warrants to purchase an aggregate of 1,137,316 shares of Common Stock (the "Warrants") and cancellation of secured promissory notes in an aggregate principal amount of $53,502,315 that were issued to the Issuer, of which $43,502,315 in aggregate principal amount was outstanding as of December 31, 2016 (the "Notes") and (ii) forfeiture of 7,838,259 shares of Common Stock (the "Shares") which were returned to the Issuer. F2 · price: Prior to the forfeiture of the Shares and the cancellation of the Warrants and Notes, the Issuer had 58,721,115 Shares outstanding and warrants to purchase an aggregate of 7,070,314 shares of Common Stock outstanding. The Issuer now has 50,882,856 Shares outstanding and warrants to purchase an aggregate of 5,932,998 shares of Common Stock outstanding. As a result of this transaction, the Reporting Persons' (defined below) collective ownership of the Issuer's securities have increased. F3 · ownership.nature: The Form 4 is filed by and on behalf of each of the following persons (each a "Reporting Person"): (i) ABG II-SO Limited ("ABG II-SO"), a British Virgin Islands limited company, (ii) Ally Bridge Group Capital Partners II, L.P., a Cayman Islands limited partnership, (iii) Ally Bridge LB Healthcare Master Fund Limited ("ABG LB"), a Cayman Islands limited company, (iv) Ally Bridge LB Management Limited, a Cayman Islands limited company, (v) ABG SRNE Limited ("ABG SRNE"), a British Virgin Islands limited company, (vi) Ally Bridge Group Innovation Capital Partners III, L.P., a Cayman Islands limited company, (vii) ABG Management Ltd., a Cayman Islands limited partnership, (viii) Mr. Fan Yu, a director of ABG LB and a shareholder and director of Ally Bridge LB Management Limited, and the sole shareholder and director of ABG Management Ltd., and (ix) Mr. Bin Li, a director and executive officer of ABG LB and a shareholder and director of Ally Bridge LB Management Limited. F4 · ownership.nature: Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for the purpose of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. F5 · ownership.nature: ABG II-SO directly owns 397,853 shares of common stock of the Issuer. The following Reporting Persons may be deemed to beneficially own such securities: (i) Ally Bridge Group Capital Partners II, L.P., as parent of ABG II-SO, (ii) ABG Management Ltd., as manager of Ally Bridge Group Capital Partners II, L.P., and (iii) Mr. Fan Yu, as sole shareholder and director of ABG Management Ltd. 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.