Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ImmunityBio, Inc.NK · Entity 3618 | Chief Financial Officer | March 23, 2017 | March 27, 2017 |
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.
ImmunityBio, Inc.
Report date March 23, 2017 · Filed March 27, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,876 |
Ending reported balance
After 2017-03-23 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-03-23 · Exercise / conversion · Acquired 5,000 · Balance 14,859 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. Row 2 · 2017-03-23 · Tax withholding · Disposed 1,983 · Balance 12,876 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-03-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-03-23 · Exercise / conversion · Disposed 5,000 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock.
F2: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 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 |
|---|---|---|---|---|---|---|
| March 23, 2017 Filed Mar 27, 2017 13:12 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-022924 · doc4.xml · derivative · entry 3 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016. F2 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016. Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 13:12 UTC | ImmunityBio, Inc. NK · Entity 3618 | Tax withholdingCommon Stock | 1,983 | $3.43 | $6,801.69 |
DisclosureSEC source: 0001209191-17-022924 · doc4.xml · nonDerivative · entry 2 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,876 Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 13:12 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-022924 · doc4.xml · nonDerivative · entry 1 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,859 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 19:04 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-156930 · doc4.xml · derivative · entry 3 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016. F2 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016. Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 19:04 UTC | ImmunityBio, Inc. NK · Entity 3618 | Tax withholdingCommon Stock | 1,717 | $6.15 | $10,559.55 |
DisclosureSEC source: 0001209191-16-156930 · doc4.xml · nonDerivative · entry 2 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,858 Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 19:04 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-156930 · doc4.xml · nonDerivative · entry 1 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,575 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 19:37 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-142963 · doc4.xml · derivative · entry 3 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 5,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016. F2 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the restricted stock units ("RSUs") will vest as follows: 1/4th of the RSUs subject to the award shall vest 3 months following the vesting commencement date on the same day of the month as the vesting commencement date, and 1/4th of the RSUs subject to the award shall vest every 3 months thereafter on the same day of the month as the vesting commencement date such that the award shall be fully vested on March 23, 2017. The vesting commencement date for this award is March 23, 2016. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 19:37 UTC | ImmunityBio, Inc. NK · Entity 3618 | Tax withholdingCommon Stock | 1,717 | $7.91 | $13,581.47 |
DisclosureSEC source: 0001209191-16-142963 · doc4.xml · nonDerivative · entry 2 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,575 Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 19:37 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-142963 · doc4.xml · nonDerivative · entry 1 Tajak Richard J. · CIK 0001434575 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,292 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. 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.