person · Reporting owner

Ng George K

Disclosed activity across 4 companies

Tapewire entity: 24591
SEC CIK: 0001638744

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Calidi Biotherapeutics, Inc.CLDI · Entity 8408	Director	September 12, 2023	September 25, 2023
Processa Pharmaceuticals, Inc.PCSA · Entity 8210	Director · Chief Executive Officer	August 08, 2026	August 11, 2026
Sorrento Therapeutics, Inc.SRNE · Entity 109201	See Remarks	February 28, 2018	February 28, 2018
TuHURA Biosciences, Inc./NVHURA · Entity 6601	Director	February 12, 2026	February 17, 2026

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.

Calidi Biotherapeutics, Inc.

Report date September 12, 2023 · Filed September 25, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	18,542	Reported balance Holding disclosure · report date 2023-09-12 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 18,542 F1: Reflects shares of common stock, par value $0.0001 per share (the "Common Stock"),of Calidi Biotherapeutics, Inc.(f/k/a First Light Acquisition Group, Inc.), a Delaware corporation ("New Calidi" or the "Issuer"). Pursuant to the Agreement and Plan of Merger, dated January 9, 2023, as amended on February 9, 2023 and June 16, 2023 (the "Merger Agreement"), by and among First Light Acquisition Group, Inc. ("FLAG"), FLAG Merger Sub, Inc. ("Merger Sub"), First Light Acquisition Group, LLC, Allan Camaisa and Calidi Biotherapeutics, Inc., a Nevada corporation ("Old Calidi"), on September 12, 2023, Merger Sub merged with and into Old Calidi, with Old Calidi surviving the merger as a wholly-owned subsidiary of the Issuer (such merger and the other transactions contemplated by the Merger Agreement, the "Business Combination"). Upon the consummation of the Business Combination, (the "Closing"), (cont'd. in FN 2) F2: (cont'd. from FN 1) each share of common stock of Old Calidi (the "Old Calidi Common Stock") outstanding as of the time of the merger (the "Effective Time") converted into the right to receive approximately 0.41 share (the "Conversion Ratio") of the Issuer's Common Stock.
Common StockSEC Table I · non-derivative	IndirectBy Peng Ventures, LLC	9,550	Reported balance Holding disclosure · report date 2023-09-12 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 9,550 F1: Reflects shares of common stock, par value $0.0001 per share (the "Common Stock"),of Calidi Biotherapeutics, Inc.(f/k/a First Light Acquisition Group, Inc.), a Delaware corporation ("New Calidi" or the "Issuer"). Pursuant to the Agreement and Plan of Merger, dated January 9, 2023, as amended on February 9, 2023 and June 16, 2023 (the "Merger Agreement"), by and among First Light Acquisition Group, Inc. ("FLAG"), FLAG Merger Sub, Inc. ("Merger Sub"), First Light Acquisition Group, LLC, Allan Camaisa and Calidi Biotherapeutics, Inc., a Nevada corporation ("Old Calidi"), on September 12, 2023, Merger Sub merged with and into Old Calidi, with Old Calidi surviving the merger as a wholly-owned subsidiary of the Issuer (such merger and the other transactions contemplated by the Merger Agreement, the "Business Combination"). Upon the consummation of the Business Combination, (the "Closing"), (cont'd. in FN 2) F2: (cont'd. from FN 1) each share of common stock of Old Calidi (the "Old Calidi Common Stock") outstanding as of the time of the merger (the "Effective Time") converted into the right to receive approximately 0.41 share (the "Conversion Ratio") of the Issuer's Common Stock. F11: Directly held by Peng Ventures, LLC. Mr. Ng is the managing partner of Peng Ventures, LLC, and may be deemed to beneficially own the securities held by Peng Ventures, LLC. Mr. Ng disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Non-Qualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2029-05-09	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-09-12 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F3: The Reporting Person was originally granted Non-Qualified Stock Options by Old Calidi (the "Calidi Options"), which was assumed by the Issuer at the Effective Time and automatically converted into options exercisable for the Issuer's Common Stock (the "Assumed Options"), subject to the terms and conditions set forth in the Old Calidi 2016 Equity Incentive Plan, as amended from time to time, and the Old Calidi 2019 Equity Incentive Plan, as amended from time to time (together, the "Calidi Equity Incentive Plan"). Each Assumed Option has the right to acquire a number of shares of Issuer's Common Stock equal to (as rounded down to the nearest whole number) the product of (A) the number of shares of Old Calidi Common Stock subject to such Calidi Option immediately prior to the Effective Time, (cont'd in FN 4) F4: (cont'd from FN 3) multiplied by (B) the Conversion Ratio; (1) at an exercise price equal to (as rounded up to the nearest whole cent) the quotient of (A) the exercise price of such Calidi Option immediately prior to the Effective Time, divided by (B) the Conversion Ratio; and (2) subject to the same vesting schedule as such Calidi Option. The exercise price and the number of shares of Issuer's Common Stock underlying the Assumed Options reflects the Conversion Ratio adjustment made in connection with the Closing. F5: These Non-Qualified Stock Options were granted on May 9, 2019 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. These options are fully vested.
Non-Qualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2029-10-09	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-09-12 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F3: The Reporting Person was originally granted Non-Qualified Stock Options by Old Calidi (the "Calidi Options"), which was assumed by the Issuer at the Effective Time and automatically converted into options exercisable for the Issuer's Common Stock (the "Assumed Options"), subject to the terms and conditions set forth in the Old Calidi 2016 Equity Incentive Plan, as amended from time to time, and the Old Calidi 2019 Equity Incentive Plan, as amended from time to time (together, the "Calidi Equity Incentive Plan"). Each Assumed Option has the right to acquire a number of shares of Issuer's Common Stock equal to (as rounded down to the nearest whole number) the product of (A) the number of shares of Old Calidi Common Stock subject to such Calidi Option immediately prior to the Effective Time, (cont'd in FN 4) F4: (cont'd from FN 3) multiplied by (B) the Conversion Ratio; (1) at an exercise price equal to (as rounded up to the nearest whole cent) the quotient of (A) the exercise price of such Calidi Option immediately prior to the Effective Time, divided by (B) the Conversion Ratio; and (2) subject to the same vesting schedule as such Calidi Option. The exercise price and the number of shares of Issuer's Common Stock underlying the Assumed Options reflects the Conversion Ratio adjustment made in connection with the Closing. F6: These Non-Qualified Stock Options were granted on October 9, 2019 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest over four years as follows (i) 25% vesting on the one year anniversary of the grant date, and (ii) the remaining 75% of such shares vesting monthly in equal installments over the next three years, subject to the Reporting Person's continued service to the Issuer on each vesting date.
Non-Qualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.40 · Expires 2031-03-30	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-09-12 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F3: The Reporting Person was originally granted Non-Qualified Stock Options by Old Calidi (the "Calidi Options"), which was assumed by the Issuer at the Effective Time and automatically converted into options exercisable for the Issuer's Common Stock (the "Assumed Options"), subject to the terms and conditions set forth in the Old Calidi 2016 Equity Incentive Plan, as amended from time to time, and the Old Calidi 2019 Equity Incentive Plan, as amended from time to time (together, the "Calidi Equity Incentive Plan"). Each Assumed Option has the right to acquire a number of shares of Issuer's Common Stock equal to (as rounded down to the nearest whole number) the product of (A) the number of shares of Old Calidi Common Stock subject to such Calidi Option immediately prior to the Effective Time, (cont'd in FN 4) F4: (cont'd from FN 3) multiplied by (B) the Conversion Ratio; (1) at an exercise price equal to (as rounded up to the nearest whole cent) the quotient of (A) the exercise price of such Calidi Option immediately prior to the Effective Time, divided by (B) the Conversion Ratio; and (2) subject to the same vesting schedule as such Calidi Option. The exercise price and the number of shares of Issuer's Common Stock underlying the Assumed Options reflects the Conversion Ratio adjustment made in connection with the Closing. F7: These Non-Qualified Stock Options were granted on March 30, 2021 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest monthly in equal installments over a four year period from the grant date, subject to the Reporting Person's continued service to the Issuer on each vesting date.
Non-Qualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.11 · Expires 2032-02-01	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-09-12 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance Not disclosed F3: The Reporting Person was originally granted Non-Qualified Stock Options by Old Calidi (the "Calidi Options"), which was assumed by the Issuer at the Effective Time and automatically converted into options exercisable for the Issuer's Common Stock (the "Assumed Options"), subject to the terms and conditions set forth in the Old Calidi 2016 Equity Incentive Plan, as amended from time to time, and the Old Calidi 2019 Equity Incentive Plan, as amended from time to time (together, the "Calidi Equity Incentive Plan"). Each Assumed Option has the right to acquire a number of shares of Issuer's Common Stock equal to (as rounded down to the nearest whole number) the product of (A) the number of shares of Old Calidi Common Stock subject to such Calidi Option immediately prior to the Effective Time, (cont'd in FN 4) F4: (cont'd from FN 3) multiplied by (B) the Conversion Ratio; (1) at an exercise price equal to (as rounded up to the nearest whole cent) the quotient of (A) the exercise price of such Calidi Option immediately prior to the Effective Time, divided by (B) the Conversion Ratio; and (2) subject to the same vesting schedule as such Calidi Option. The exercise price and the number of shares of Issuer's Common Stock underlying the Assumed Options reflects the Conversion Ratio adjustment made in connection with the Closing. F8: These Non-Qualified Stock Options were granted on February 1, 2022 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest monthly in equal installments over a four year period from the grant date, subject to the Reporting Person's continued service to the Issuer on each vesting date.
Non-Qualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.11 · Expires 2032-02-01	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-09-12 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance Not disclosed F3: The Reporting Person was originally granted Non-Qualified Stock Options by Old Calidi (the "Calidi Options"), which was assumed by the Issuer at the Effective Time and automatically converted into options exercisable for the Issuer's Common Stock (the "Assumed Options"), subject to the terms and conditions set forth in the Old Calidi 2016 Equity Incentive Plan, as amended from time to time, and the Old Calidi 2019 Equity Incentive Plan, as amended from time to time (together, the "Calidi Equity Incentive Plan"). Each Assumed Option has the right to acquire a number of shares of Issuer's Common Stock equal to (as rounded down to the nearest whole number) the product of (A) the number of shares of Old Calidi Common Stock subject to such Calidi Option immediately prior to the Effective Time, (cont'd in FN 4) F4: (cont'd from FN 3) multiplied by (B) the Conversion Ratio; (1) at an exercise price equal to (as rounded up to the nearest whole cent) the quotient of (A) the exercise price of such Calidi Option immediately prior to the Effective Time, divided by (B) the Conversion Ratio; and (2) subject to the same vesting schedule as such Calidi Option. The exercise price and the number of shares of Issuer's Common Stock underlying the Assumed Options reflects the Conversion Ratio adjustment made in connection with the Closing. F9: These Non-Qualified Stock Options were granted on February 1, 2022 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest monthly in equal installments over a four year period from the grant date, subject to the Reporting Person's continued service to the Issuer on each vesting date.
Non-Qualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.11 · Expires 2032-02-01	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-09-12 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance Not disclosed F3: The Reporting Person was originally granted Non-Qualified Stock Options by Old Calidi (the "Calidi Options"), which was assumed by the Issuer at the Effective Time and automatically converted into options exercisable for the Issuer's Common Stock (the "Assumed Options"), subject to the terms and conditions set forth in the Old Calidi 2016 Equity Incentive Plan, as amended from time to time, and the Old Calidi 2019 Equity Incentive Plan, as amended from time to time (together, the "Calidi Equity Incentive Plan"). Each Assumed Option has the right to acquire a number of shares of Issuer's Common Stock equal to (as rounded down to the nearest whole number) the product of (A) the number of shares of Old Calidi Common Stock subject to such Calidi Option immediately prior to the Effective Time, (cont'd in FN 4) F4: (cont'd from FN 3) multiplied by (B) the Conversion Ratio; (1) at an exercise price equal to (as rounded up to the nearest whole cent) the quotient of (A) the exercise price of such Calidi Option immediately prior to the Effective Time, divided by (B) the Conversion Ratio; and (2) subject to the same vesting schedule as such Calidi Option. The exercise price and the number of shares of Issuer's Common Stock underlying the Assumed Options reflects the Conversion Ratio adjustment made in connection with the Closing. F10: These Non-Qualified Stock Options were granted on February 1, 2022 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest over four years as follows (i) 25% vesting on the one year anniversary of the grant date, and (ii) the remaining 75% of such shares vesting monthly in equal installments over the next three years, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects shares of common stock, par value $0.0001 per share (the "Common Stock"),of Calidi Biotherapeutics, Inc.(f/k/a First Light Acquisition Group, Inc.), a Delaware corporation ("New Calidi" or the "Issuer"). Pursuant to the Agreement and Plan of Merger, dated January 9, 2023, as amended on February 9, 2023 and June 16, 2023 (the "Merger Agreement"), by and among First Light Acquisition Group, Inc. ("FLAG"), FLAG Merger Sub, Inc. ("Merger Sub"), First Light Acquisition Group, LLC, Allan Camaisa and Calidi Biotherapeutics, Inc., a Nevada corporation ("Old Calidi"), on September 12, 2023, Merger Sub merged with and into Old Calidi, with Old Calidi surviving the merger as a wholly-owned subsidiary of the Issuer (such merger and the other transactions contemplated by the Merger Agreement, the "Business Combination"). Upon the consummation of the Business Combination, (the "Closing"), (cont'd. in FN 2)

F2: (cont'd. from FN 1) each share of common stock of Old Calidi (the "Old Calidi Common Stock") outstanding as of the time of the merger (the "Effective Time") converted into the right to receive approximately 0.41 share (the "Conversion Ratio") of the Issuer's Common Stock.

F3: The Reporting Person was originally granted Non-Qualified Stock Options by Old Calidi (the "Calidi Options"), which was assumed by the Issuer at the Effective Time and automatically converted into options exercisable for the Issuer's Common Stock (the "Assumed Options"), subject to the terms and conditions set forth in the Old Calidi 2016 Equity Incentive Plan, as amended from time to time, and the Old Calidi 2019 Equity Incentive Plan, as amended from time to time (together, the "Calidi Equity Incentive Plan"). Each Assumed Option has the right to acquire a number of shares of Issuer's Common Stock equal to (as rounded down to the nearest whole number) the product of (A) the number of shares of Old Calidi Common Stock subject to such Calidi Option immediately prior to the Effective Time, (cont'd in FN 4)

F4: (cont'd from FN 3) multiplied by (B) the Conversion Ratio; (1) at an exercise price equal to (as rounded up to the nearest whole cent) the quotient of (A) the exercise price of such Calidi Option immediately prior to the Effective Time, divided by (B) the Conversion Ratio; and (2) subject to the same vesting schedule as such Calidi Option. The exercise price and the number of shares of Issuer's Common Stock underlying the Assumed Options reflects the Conversion Ratio adjustment made in connection with the Closing.

F5: These Non-Qualified Stock Options were granted on May 9, 2019 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. These options are fully vested.

F6: These Non-Qualified Stock Options were granted on October 9, 2019 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest over four years as follows (i) 25% vesting on the one year anniversary of the grant date, and (ii) the remaining 75% of such shares vesting monthly in equal installments over the next three years, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F7: These Non-Qualified Stock Options were granted on March 30, 2021 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest monthly in equal installments over a four year period from the grant date, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F8: These Non-Qualified Stock Options were granted on February 1, 2022 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest monthly in equal installments over a four year period from the grant date, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F9: These Non-Qualified Stock Options were granted on February 1, 2022 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest monthly in equal installments over a four year period from the grant date, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F10: These Non-Qualified Stock Options were granted on February 1, 2022 in accordance with the terms and conditions of the applicable option agreement under the Calidi Equity Incentive Plan. The options vest over four years as follows (i) 25% vesting on the one year anniversary of the grant date, and (ii) the remaining 75% of such shares vesting monthly in equal installments over the next three years, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F11: Directly held by Peng Ventures, LLC. Mr. Ng is the managing partner of Peng Ventures, LLC, and may be deemed to beneficially own the securities held by Peng Ventures, LLC. Mr. Ng disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Processa Pharmaceuticals, Inc.

Report date August 08, 2026 · Filed August 11, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	17,092	Reported balance After 2026-08-08 transaction · row 1 1 source row Row 1 · 2026-08-08 · Exercise / conversion · Acquired 1,600 · Balance 17,092 F1: Distribution of time-based service award.
Restricted StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	19,624	Reported balance After 2026-08-08 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2026-08-08 · Exercise / conversion · Disposed 1,600 · Balance 19,624 F1: Distribution of time-based service award. F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.
Common StockSEC Table I · non-derivative	IndirectGeorge Ng IRRA FOB George Ng	3,488	Reported balance Holding disclosure · report date 2026-08-08 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 3,488
Common StockSEC Table I · non-derivative	IndirectNg Cha Family Trust	800	Reported balance Holding disclosure · report date 2026-08-08 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 800
Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.96	Direct	30,720	Reported balance Holding disclosure · report date 2026-08-08 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 30,720 F2: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.

Filing footnotes · ownership attribution and instrument terms

F1: Distribution of time-based service award.

F2: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years.

F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.

Sorrento Therapeutics, Inc.

Report date February 28, 2018 · Filed February 28, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	302,146	Reported balance After 2018-02-28 transaction · row 1 1 source row Row 1 · 2018-02-28 · Other · Acquired 163,469 · Balance 302,146 F1: Pursuant to a stock purchase agreement by and among the Issuer, Scilex Pharmaceuticals Inc. ("Scilex"), the stockholders of Scilex party thereto and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"), the Reporting Person sold 1,800,000 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on February 28, 2018, the Issuer issued the Reporting Person 163,469 shares of the common stock of the Issuer. The Stock Purchase Agreement, which was entered into on November 8, 2016, placed a value on the Issuer's common stock of $9.95 per share. Contingent upon the achievement of such milestone, the Reporting Person's right to receive such shares became fixed and irrevocable on November 8, 2016.
Common StockSEC Table I · non-derivative	IndirectBy Ng Cha Family Trust	101,453	Reported balance After 2018-02-28 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2018-02-28 · Purchase · Acquired 90,000 · Balance 101,453 F2: Shares are held in a family trust of which the Reporting Person is a co-trustee with his wife.
Common StockSEC Table I · non-derivative	IndirectThrough an IRA	888	Reported balance Holding disclosure · report date 2018-02-28 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 888
Common StockSEC Table I · non-derivative	IndirectThrough Peng Ventures, LLC	3,448	Reported balance Holding disclosure · report date 2018-02-28 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 3,448

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to a stock purchase agreement by and among the Issuer, Scilex Pharmaceuticals Inc. ("Scilex"), the stockholders of Scilex party thereto and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"), the Reporting Person sold 1,800,000 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on February 28, 2018, the Issuer issued the Reporting Person 163,469 shares of the common stock of the Issuer. The Stock Purchase Agreement, which was entered into on November 8, 2016, placed a value on the Issuer's common stock of $9.95 per share. Contingent upon the achievement of such milestone, the Reporting Person's right to receive such shares became fixed and irrevocable on November 8, 2016.

F2: Shares are held in a family trust of which the Reporting Person is a co-trustee with his wife.

TuHURA Biosciences, Inc./NV

Report date February 12, 2026 · Filed February 17, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.29 · Expires 2036-02-12	Direct	156,240	Reported balance After 2026-02-12 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-02-12 · Grant · Acquired 156,240 · Balance 156,240 F1: Represents an annual option grant under the TuHURA Biosciences, Inc. 2024 Equity Incentive Plan. One-third of the stock options become exercisable on the first, second, and third anniversaries of February 12, 2026.
Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.11 · Expires 2035-01-02	Direct	51,275	Reported balance Holding disclosure · report date 2026-02-12 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 51,275 F2: Represents an annual option grant under the TuHURA Biosciences, Inc. 2024 Equity Incentive Plan previously granted on January 2, 2025. One-third of the stock options become exercisable on the first, second, and third anniversaries of January 2, 2025.

Filing footnotes · ownership attribution and instrument terms

F1: Represents an annual option grant under the TuHURA Biosciences, Inc. 2024 Equity Incentive Plan. One-third of the stock options become exercisable on the first, second, and third anniversaries of February 12, 2026.

F2: Represents an annual option grant under the TuHURA Biosciences, Inc. 2024 Equity Incentive Plan previously granted on January 2, 2025. One-third of the stock options become exercisable on the first, second, and third anniversaries of January 2, 2025.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
August 08, 2026 Filed Aug 11, 2026 20:21 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	Exercise / conversionRestricted Stock · Derivative	1,600	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-26-001602 · form4.xml · derivative · entry 4 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,624 Underlying: Common Stock · 1,600 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_date: Distribution of time-based service award. F1 · derivative.expiration_date: Distribution of time-based service award. F3 · balance_after: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025. Read SEC document
August 08, 2026 Filed Aug 11, 2026 20:21 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	Exercise / conversionCommon Stock	1,600	Not disclosed	Not disclosed	Disclosure SEC source: 0000897069-26-001602 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,092 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: Distribution of time-based service award. Read SEC document
July 26, 2026 Filed Jul 29, 2026 00:26 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock Units · Derivative	9,384	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-26-001554 · form4.xml · derivative · entry 4 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,224 Underlying: Common Stock · 9,384 shares Expires not disclosed F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F3 · balance_after: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025. Read SEC document
July 01, 2026 Filed Jul 1, 2026 20:19 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	3,057	$1.93	$5,900.01	Disclosure SEC source: 0000897069-26-001480 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,492 Read SEC document
June 15, 2026 Filed Jun 16, 2026 20:22 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	2,465	$2.22	$5,472.30	Disclosure SEC source: 0000897069-26-001410 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,435 Read SEC document
May 29, 2026 Filed Jun 1, 2026 20:58 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	2,129	$2.57	$5,471.53	Disclosure SEC source: 0000897069-26-001291 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,970 Read SEC document
May 15, 2026 Filed May 19, 2026 22:06 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	1,843	$2.97	$5,473.71	Disclosure SEC source: 0000897069-26-001186 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,841 F1 · balance_after: Shares adjusted to correct immaterial errors made on the Form 4 filed on May 1, 2026. The corrected price per share for the purchase made on April 30, 2026 is $2.71, not $2.69, which reduces the amount purchased on April 30, 2026 by 15 shares. Read SEC document
April 30, 2026 Filed May 1, 2026 20:37 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	2,034	$2.69	$5,471.46	Disclosure SEC source: 0000897069-26-001006 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,013 Read SEC document
April 15, 2026 Filed Apr 17, 2026 20:54 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	1,843	$2.97	$5,473.71	Disclosure SEC source: 0000897069-26-000910 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,492 Read SEC document
April 15, 2026 Filed Apr 30, 2026 20:33 UTC Amendment	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	1,843	$2.97	$5,473.71	Disclosure SEC source: 0000897069-26-000979 · form4a.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,979 Read SEC document
April 15, 2026 Filed May 19, 2026 21:31 UTC Amendment	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	1,843	$2.97	$5,473.71	Disclosure SEC source: 0000897069-26-001167 · form4a.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,979 Read SEC document
March 31, 2026 Filed Apr 1, 2026 21:15 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	2,136	$2.54	$5,414.76	Disclosure SEC source: 0000897069-26-000750 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,649 Read SEC document
March 31, 2026 Filed Apr 30, 2026 20:32 UTC Amendment	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	2,136	$2.54	$5,414.76	Disclosure SEC source: 0000897069-26-000977 · form4a.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,136 Read SEC document
February 12, 2026 Filed Feb 17, 2026 21:19 UTC	TuHURA Biosciences, Inc./NV HURA · Entity 6601	GrantOptions (Right to Buy) · Derivative	156,240	$0.00 Strike: $1.29	$0.00	Disclosure SEC source: 0000897069-26-000367 · form4.xml · derivative · entry 1 Ng George K · CIK 0001638744 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,240 Underlying: Common Stock · 156,240 shares Expires 2036-02-12 F1 · date: Represents an annual option grant under the TuHURA Biosciences, Inc. 2024 Equity Incentive Plan. One-third of the stock options become exercisable on the first, second, and third anniversaries of February 12, 2026. F1 · derivative.exercise_date: Represents an annual option grant under the TuHURA Biosciences, Inc. 2024 Equity Incentive Plan. One-third of the stock options become exercisable on the first, second, and third anniversaries of February 12, 2026. Read SEC document
October 01, 2025 Filed Oct 3, 2025 20:23 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantStock Options (Right to Buy) · Derivative	768,000	$0.00 Strike: $0.20	$0.00	Disclosure SEC source: 0000897069-25-001543 · form4.xml · derivative · entry 2 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 768,000 Underlying: Common Stock · 768,000 shares Expires not disclosed F2 · derivative.exercise_date: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. F2 · derivative.expiration_date: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. Read SEC document
October 01, 2025 Filed Oct 3, 2025 20:23 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock Units · Derivative	256,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-25-001543 · form4.xml · derivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 256,000 Underlying: Common Stock · 256,000 shares Expires not disclosed F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting on of one-third on October 1, 2026, and one-thirty-sixth each month thereafter until fully vested on October 1, 2028. F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting on of one-third on October 1, 2026, and one-thirty-sixth each month thereafter until fully vested on October 1, 2028. Read SEC document
July 24, 2025 Filed Jul 28, 2025 20:25 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock Units · Derivative	1,822,471	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-25-001213 · form4.xml · derivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,922,471 Underlying: Common Stock · 1,822,471 shares Expires not disclosed F1 · shares: Restricted stock granted under the Processa Pharmaceuticals, Inc. 2019 Omnibus Incentive Plan ("Omnibus Plan"), of which 1,859,318 shares are subject to stockholder approval of the revised Omnibus Plan. F2 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting on of one-third on January 1, 2026, and one-thirty-sixth each month thereafter until fully vested on January 1, 2028. F2 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting on of one-third on January 1, 2026, and one-thirty-sixth each month thereafter until fully vested on January 1, 2028. Read SEC document
January 29, 2025 Filed Feb 18, 2025 22:53 UTC Amendment	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantWarrants · Derivative	43,600	$0.00 Strike: $0.65	$0.00	Disclosure SEC source: 0000897069-25-000290 · form4.xml · derivative · entry 4 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · George Ng IRRA FBO: George Ng Disclosed balance after: 43,600 Underlying: Common Stock · 43,600 shares Expires 2030-01-29 Read SEC document
January 29, 2025 Filed Feb 18, 2025 22:53 UTC Amendment	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantWarrants · Derivative	87,200	$0.00 Strike: $0.65	$0.00	Disclosure SEC source: 0000897069-25-000290 · form4.xml · derivative · entry 3 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · George Ng IRRA FBO: George Ng Disclosed balance after: 87,200 Underlying: Common Stock · 87,200 shares Expires 2030-01-29 Read SEC document
January 27, 2025 Filed Jan 29, 2025 22:05 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	87,200	$0.80	$69,542.00	Disclosure SEC source: 0000897069-25-000134 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · George Ng IRRA FBO: George Ng Disclosed balance after: 87,200 Read SEC document
January 02, 2025 Filed Jan 6, 2025 21:54 UTC	TuHURA Biosciences, Inc./NV HURA · Entity 6601	GrantOptions (Right to Buy) · Derivative	51,275	$0.00 Strike: $4.11	$0.00	Disclosure SEC source: 0000897069-25-000031 · form4.xml · derivative · entry 1 Ng George K · CIK 0001638744 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,275 Underlying: Common Stock · 51,275 shares Expires 2035-01-02 F1 · date: Represents an annual option grant under the TuHURA Biosciences, Inc. Non-Employee Director Compensation Program. One-third of the stock options become exercisable on the first, second, and third anniversaries of January 2, 2025. F1 · derivative.exercise_date: Represents an annual option grant under the TuHURA Biosciences, Inc. Non-Employee Director Compensation Program. One-third of the stock options become exercisable on the first, second, and third anniversaries of January 2, 2025. Read SEC document
October 18, 2024 Filed Oct 23, 2024 00:47 UTC	TuHURA Biosciences, Inc./NV KTRA · Entity 6601	GrantOptions (Right to Buy) · Derivative	13,553	$0.00 Strike: $4.14	$0.00	Disclosure SEC source: 0000897069-24-002011 · form4.xml · derivative · entry 3 Ng George K · CIK 0001638744 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,553 Underlying: Common Stock · 13,553 shares Expires 2034-02-28 F1 · date: Securities issued upon closing of the transactions contemplated by the Agreement and Plan of Merger, dated as of April 2, 2024 (the "Merger Agreement"), among the Issuer (fka "Kintara Therapeutics, Inc."), Kayak Mergeco, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"), and TuHURA Biosciences, Inc., a Delaware corporation ("Private TuHURA"). Under the terms of the Merger Agreement, on October 18, 2024, Merger Sub merged with and into Private TuHURA (the "Merger") with Private TuHURA surviving the Merger as a wholly owned subsidiary of the Issuer. Upon the closing of the Merger, securities of Private TuHURA were converted into the right to receive securities of the Issuer as set forth in the Merger Agreement. The Issuer subsequently changed its name to "TuHURA Biosciences, Inc." Read SEC document
October 18, 2024 Filed Oct 23, 2024 00:47 UTC	TuHURA Biosciences, Inc./NV KTRA · Entity 6601	GrantOptions (Right to Buy) · Derivative	13,553	$0.00 Strike: $3.69	$0.00	Disclosure SEC source: 0000897069-24-002011 · form4.xml · derivative · entry 2 Ng George K · CIK 0001638744 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,553 Underlying: Common Stock · 13,553 shares Expires 2033-01-16 F1 · date: Securities issued upon closing of the transactions contemplated by the Agreement and Plan of Merger, dated as of April 2, 2024 (the "Merger Agreement"), among the Issuer (fka "Kintara Therapeutics, Inc."), Kayak Mergeco, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"), and TuHURA Biosciences, Inc., a Delaware corporation ("Private TuHURA"). Under the terms of the Merger Agreement, on October 18, 2024, Merger Sub merged with and into Private TuHURA (the "Merger") with Private TuHURA surviving the Merger as a wholly owned subsidiary of the Issuer. Upon the closing of the Merger, securities of Private TuHURA were converted into the right to receive securities of the Issuer as set forth in the Merger Agreement. The Issuer subsequently changed its name to "TuHURA Biosciences, Inc." Read SEC document
October 18, 2024 Filed Oct 23, 2024 00:47 UTC	TuHURA Biosciences, Inc./NV KTRA · Entity 6601	GrantOptions (Right to Buy) · Derivative	35,780	$0.00 Strike: $2.24	$0.00	Disclosure SEC source: 0000897069-24-002011 · form4.xml · derivative · entry 1 Ng George K · CIK 0001638744 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,780 Underlying: Common Stock · 35,780 shares Expires 2030-02-06 F1 · date: Securities issued upon closing of the transactions contemplated by the Agreement and Plan of Merger, dated as of April 2, 2024 (the "Merger Agreement"), among the Issuer (fka "Kintara Therapeutics, Inc."), Kayak Mergeco, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"), and TuHURA Biosciences, Inc., a Delaware corporation ("Private TuHURA"). Under the terms of the Merger Agreement, on October 18, 2024, Merger Sub merged with and into Private TuHURA (the "Merger") with Private TuHURA surviving the Merger as a wholly owned subsidiary of the Issuer. Upon the closing of the Merger, securities of Private TuHURA were converted into the right to receive securities of the Issuer as set forth in the Merger Agreement. The Issuer subsequently changed its name to "TuHURA Biosciences, Inc." Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:37 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	10,000	$2.70	$27,000.00	Disclosure SEC source: 0000897069-24-000229 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Family Trust Disclosed balance after: 20,000 F1 · balance_after: Effective on January 22, 2024, Processa Pharmaceuticals, Inc. effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F2 · balance_after: Reflects that shares previously reported as directly held by the reporting person were held in a trust. Read SEC document
October 12, 2023 Filed Oct 12, 2023 22:04 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantCommon Stock	100,000	$0.25	$25,000.00	Disclosure SEC source: 0000897069-23-001468 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Read SEC document
October 10, 2023 Filed Oct 10, 2023 20:56 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantCommon Stock	100,000	$0.25	$25,000.00	Disclosure SEC source: 0000897069-23-001438 · form4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Read SEC document
August 08, 2023 Filed Aug 9, 2023 20:51 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock Units · Derivative	400,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-23-001136 · form4.xml · derivative · entry 2 Ng George K · CIK 0001638744 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 800,000 Underlying: Common Stock · 400,000 shares Expires not disclosed F2 · derivative.exercise_date: The restricted stock units vest upon the achievement of certain performance goals. F2 · derivative.expiration_date: The restricted stock units vest upon the achievement of certain performance goals. Read SEC document
August 08, 2023 Filed Aug 9, 2023 20:51 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock Units · Derivative	400,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-23-001136 · form4.xml · derivative · entry 1 Ng George K · CIK 0001638744 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting of one-third on 08/08/24, 08/08/25, and 08/08/26 or upon a change in control event. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting of one-third on 08/08/24, 08/08/25, and 08/08/26 or upon a change in control event. Read SEC document
February 28, 2018 Filed Feb 28, 2018 19:04 UTC	Sorrento Therapeutics, Inc. SRNE · Entity 109201	PurchaseCommon Stock	90,000	$9.95	$895,500.00	Disclosure SEC source: 0000850261-18-000010 · wf-form4_151986267025828.xml · nonDerivative · entry 2 Ng George K · CIK 0001638744 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Ng Cha Family Trust Disclosed balance after: 101,453 F2 · ownership.nature: Shares are held in a family trust of which the Reporting Person is a co-trustee with his wife. Read SEC document
February 28, 2018 Filed Feb 28, 2018 19:04 UTC	Sorrento Therapeutics, Inc. SRNE · Entity 109201	OtherCommon Stock	163,469	Not disclosed	Not disclosed	Disclosure SEC source: 0000850261-18-000010 · wf-form4_151986267025828.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,146 F1 · kind: Pursuant to a stock purchase agreement by and among the Issuer, Scilex Pharmaceuticals Inc. ("Scilex"), the stockholders of Scilex party thereto and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"), the Reporting Person sold 1,800,000 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on February 28, 2018, the Issuer issued the Reporting Person 163,469 shares of the common stock of the Issuer. The Stock Purchase Agreement, which was entered into on November 8, 2016, placed a value on the Issuer's common stock of $9.95 per share. Contingent upon the achievement of such milestone, the Reporting Person's right to receive such shares became fixed and irrevocable on November 8, 2016. F1 · price: Pursuant to a stock purchase agreement by and among the Issuer, Scilex Pharmaceuticals Inc. ("Scilex"), the stockholders of Scilex party thereto and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"), the Reporting Person sold 1,800,000 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on February 28, 2018, the Issuer issued the Reporting Person 163,469 shares of the common stock of the Issuer. The Stock Purchase Agreement, which was entered into on November 8, 2016, placed a value on the Issuer's common stock of $9.95 per share. Contingent upon the achievement of such milestone, the Reporting Person's right to receive such shares became fixed and irrevocable on November 8, 2016. Read SEC document
September 14, 2017 Filed Sep 15, 2017 21:46 UTC	Sorrento Therapeutics, Inc. SRNE · Entity 109201	GrantStock Options · Derivative	150,000	$0.00 Strike: $1.80	$0.00	Disclosure SEC source: 0001144204-17-048362 · v475328_4.xml · derivative · entry 1 Ng George K · CIK 0001638744 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2027-09-14 F1 · derivative.exercise_date: 1/4 of the original number of shares subject to the option shall vest on September 14, 2018 and 1/48 of the original number of shares subject to the option shall vest following each one month period of service after September 14, 2018, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document
September 11, 2017 Filed Sep 15, 2017 21:26 UTC	Sorrento Therapeutics, Inc. SRNE · Entity 109201	OtherCommon Stock	89,339	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-17-048347 · v475331_4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,677 F1 · kind: Pursuant to a stock purchase agreement by and among the Issuer, Scilex Pharmaceuticals Inc. ("Scilex"), the stockholders of Scilex party thereto and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"), the Reporting Person sold 1,800,000 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on September 11, 2017, the Issuer issued the Reporting Person 89,339 shares of the common stock of the Issuer. The Stock Purchase Agreement, which was entered into on November 8, 2016, placed a value on the Issuer's common stock of $6.33 per share. Contingent upon the achievement of such milestone, the Reporting Person's right to receive such shares became fixed and irrevocable on November 8, 2016. F1 · price: Pursuant to a stock purchase agreement by and among the Issuer, Scilex Pharmaceuticals Inc. ("Scilex"), the stockholders of Scilex party thereto and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"), the Reporting Person sold 1,800,000 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on September 11, 2017, the Issuer issued the Reporting Person 89,339 shares of the common stock of the Issuer. The Stock Purchase Agreement, which was entered into on November 8, 2016, placed a value on the Issuer's common stock of $6.33 per share. Contingent upon the achievement of such milestone, the Reporting Person's right to receive such shares became fixed and irrevocable on November 8, 2016. Read SEC document
February 03, 2017 Filed Feb 3, 2017 19:46 UTC	Sorrento Therapeutics, Inc. SRNE · Entity 109201	SaleCommon Stock	40,000	$5.15	$206,000.00	Disclosure SEC source: 0000899243-17-002781 · doc4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,338 F1 · kind: The Reporting Person's sale of 40,000 shares of common stock of the Issuer reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 40,000 shares, with the Reporting Person's receipt of 89,338 shares of common stock of the Issuer in exchange for 1,800,000 shares of common stock of Scilex Pharmaceuticals Inc. ("Scilex") on November 8, 2016 pursuant to a stock purchase agreement by and among the Issuer, Scilex, the stockholders of Scilex party thereto (the "Scilex Stockholders") and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"). The Stock Purchase Agreement placed a value on the Issuer's common stock of $6.33 per share. F2 · kind: (Continued from Footnote 1) These transactions did not result in short-swing profits, as the price per share of the shares received by the Reporting Person pursuant to the Stock Purchase Agreement exceeded the price per share of the shares sold. In the event these transactions were determined to have resulted in short-swing profits, the Reporting Person has agreed to pay to the Issuer the full amount of any profit realized in connection with the transaction, less transaction costs. F3 · balance_after: The total number of shares reported as directly beneficially owned by the Reporting Person has been reduced by 888 shares due to prior over-reporting of such shares as being directly beneficially owned by the Reporting Person. Read SEC document
November 08, 2016 Filed Nov 9, 2016 20:29 UTC	Sorrento Therapeutics, Inc. SRNE · Entity 109201	GrantCommon Stock	89,338	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-16-033098 · doc4.xml · nonDerivative · entry 1 Ng George K · CIK 0001638744 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,226 F1 · price: Pursuant to a stock purchase agreement by and among the Issuer, Scilex Pharmaceuticals Inc. ("Scilex"), the stockholders of Scilex party thereto (the "Scilex Stockholders") and SPI Shareholders Representative, LLC, as representative of the Scilex Stockholders (the "Stock Purchase Agreement"), the Reporting Person sold 1,800,000 shares of common stock of Scilex to the Issuer in exchange for 89,338 shares of common stock of the Issuer. The Stock Purchase Agreement, which was entered into on November 8, 2016, placed a value on the Issuer's common stock of $6.33 per share. Of the 89,338 shares issued to the Reporting Person pursuant to the Stock Purchase Agreement, 17,867 are currently being held in escrow and are subject to forfeiture until May 8, 2017 to satisfy claims arising as a result of Scilex's or the Reporting Person's breach of their representations, warranties or covenants contained in the Stock Purchase Agreement. 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.