Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Scilex Holding CoSCLX · Entity 7345 | Director · Exec Chair, CEO and President | April 16, 2026 | April 20, 2026 |
| Semnur Pharmaceuticals, Inc.SMNR · Entity 6623 | Director · Executive Chairperson | September 22, 2025 | September 23, 2025 |
| Sorrento Therapeutics, Inc.SRNEQ · Entity 109201 | Director · See Remarks | March 17, 2023 | March 20, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Scilex Holding Co
Report date April 16, 2026 · Filed April 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2029-06-18 | Direct | 3,250,000 |
Reported balance
After 2026-04-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-04-16 · Purchase · Acquired 3,250,000 · Balance 3,250,000 |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2029-06-18 | Direct | 2,600,000 |
Reported balance
After 2026-04-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-04-17 · Sale · Disposed 650,000 · Balance 2,600,000 |
Semnur Pharmaceuticals, Inc.
Report date September 22, 2025 · Filed September 23, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.27 · Expires 2034-08-30 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2025-09-22 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The option vests in equal monthly installments of 1/48th per month. Except as described in the next sentence, the option is currently exercisable pursuant to the approval by shareholders of the Issuer of the option exchange on September 3, 2025, as described in the Issuer's Registration Statement on Form S-4 filed with the Securities and Exchange Commission (File No. 333-283019), which became effective on August 12, 2025. Until the date on which all payments and all obligations under that certain Senior Secured Promissory Note, dated as of September 21, 2023, issued by Scilex Holding Company (the controlling stockholder of the Issuer) to Oramed Pharmaceuticals, Inc., a Delaware corporation, F2: (Continued from Footnote 1) have been paid in full in cash, the options will not be or become exercisable, eligible for exchange, redemption or repurchase, eligible to participate in any dividends or distributions (including the proceeds of any corporate transaction) or have any voting rights in respect of, among other things, the Issuer or any of its respective current and future subsidiaries, successors and assigns. F3: The option expires ten years from the date of issuance, unless earlier terminated in accordance with the terms of the Semnur Pharmaceuticals, Inc. 2024 Stock Option Plan. F4: Represents shares of the Issuer's Common Stock underlying the option, for which (except as described above) the option became exercisable in connection with a business combination (the "Business Combination") which was effectuated in accordance with the terms of the Agreement and Plan of Merger, dated as of August 30, 2024 (as amended on April 16, 2025 and July 22, 2025), by and among the Issuer, a wholly owned subsidiary of the Issuer, and Semnur, Inc. (f/k/a Semnur Pharmaceuticals, Inc.) ("Old Semnur"), which became a wholly owned subsidiary of the Issuer upon completion of the Business Combination. Upon consummation of the Business Combination, the reporting person's option to purchase shares of common stock of Old Semnur was exchanged for an option to purchase shares of common stock of the Issuer at an exchange ratio of 1.25 to 1. The number of shares reflects the application of the exchange ratio. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in equal monthly installments of 1/48th per month. Except as described in the next sentence, the option is currently exercisable pursuant to the approval by shareholders of the Issuer of the option exchange on September 3, 2025, as described in the Issuer's Registration Statement on Form S-4 filed with the Securities and Exchange Commission (File No. 333-283019), which became effective on August 12, 2025. Until the date on which all payments and all obligations under that certain Senior Secured Promissory Note, dated as of September 21, 2023, issued by Scilex Holding Company (the controlling stockholder of the Issuer) to Oramed Pharmaceuticals, Inc., a Delaware corporation,
F2: (Continued from Footnote 1) have been paid in full in cash, the options will not be or become exercisable, eligible for exchange, redemption or repurchase, eligible to participate in any dividends or distributions (including the proceeds of any corporate transaction) or have any voting rights in respect of, among other things, the Issuer or any of its respective current and future subsidiaries, successors and assigns.
F3: The option expires ten years from the date of issuance, unless earlier terminated in accordance with the terms of the Semnur Pharmaceuticals, Inc. 2024 Stock Option Plan.
F4: Represents shares of the Issuer's Common Stock underlying the option, for which (except as described above) the option became exercisable in connection with a business combination (the "Business Combination") which was effectuated in accordance with the terms of the Agreement and Plan of Merger, dated as of August 30, 2024 (as amended on April 16, 2025 and July 22, 2025), by and among the Issuer, a wholly owned subsidiary of the Issuer, and Semnur, Inc. (f/k/a Semnur Pharmaceuticals, Inc.) ("Old Semnur"), which became a wholly owned subsidiary of the Issuer upon completion of the Business Combination. Upon consummation of the Business Combination, the reporting person's option to purchase shares of common stock of Old Semnur was exchanged for an option to purchase shares of common stock of the Issuer at an exchange ratio of 1.25 to 1. The number of shares reflects the application of the exchange ratio.
Sorrento Therapeutics, Inc.
Report date March 17, 2023 · Filed March 20, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy BioVintage, Inc. | 20,000 |
Reported balance
After 2023-03-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-03-17 · Other · Acquired 19,500 · Balance 20,000 F1: On December 30, 2022, the Issuer's Board of Directors declared a stock dividend (the "Dividend") to all holders of record of its common stock as of the close of business on January 9, 2023, of 0.1410127 of a share of common stock, par value $0.0001 per share, of Scilex Holding Company ("Scilex Common Stock") for each one share of common stock, par value $0.0001 per share, of the Issuer ("Sorrento Common Stock"). The Put Option written by the Reporting Person on August 26, 2022 (the "Put Option") was previously reported at an exercise price of $5.50 per share of Sorrento Common Stock, which was adjusted as a result of the Dividend to relate to an aggregate of 19,500 shares of Sorrento Common Stock and 2,730 shares of Scilex Common Stock and to reflect a corresponding change to the exercise price of the Put Option to $0.80268 per share of Sorrento Common Stock and $8.6002 per share of Scilex Common Stock. The Put Option settled on March 17, 2023 and resulted in the Reporting Person F2: (Continued Footnote 1) acquiring 19,500 shares of Sorrento Common Stock at a price of $0.80268 per share of Sorrento Common Stock, in addition to 2,730 shares of Scilex Common Stock at a price of $8.6002 per share of Scilex Common Stock. |
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.80 · Expires 2023-03-17 | IndirectBy BioVintage, Inc. | 0 |
Reported balance
After 2023-03-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-03-17 · Disposition to issuer · Disposed 195 · Balance 0 |
| Common StockSEC Table I · non-derivative | Direct | 6,265,805 |
Reported balance
Holding disclosure · report date 2023-03-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,265,805 |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,271,693 |
Reported balance
Holding disclosure · report date 2023-03-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,271,693 F3: Shares are held in family trusts of which the Reporting Person is a co-trustee with his spouse. |
| Common StockSEC Table I · non-derivative | IndirectBy spouse | 40,000 |
Reported balance
Holding disclosure · report date 2023-03-17 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 40,000 |
Filing footnotes · ownership attribution and instrument terms
F1: On December 30, 2022, the Issuer's Board of Directors declared a stock dividend (the "Dividend") to all holders of record of its common stock as of the close of business on January 9, 2023, of 0.1410127 of a share of common stock, par value $0.0001 per share, of Scilex Holding Company ("Scilex Common Stock") for each one share of common stock, par value $0.0001 per share, of the Issuer ("Sorrento Common Stock"). The Put Option written by the Reporting Person on August 26, 2022 (the "Put Option") was previously reported at an exercise price of $5.50 per share of Sorrento Common Stock, which was adjusted as a result of the Dividend to relate to an aggregate of 19,500 shares of Sorrento Common Stock and 2,730 shares of Scilex Common Stock and to reflect a corresponding change to the exercise price of the Put Option to $0.80268 per share of Sorrento Common Stock and $8.6002 per share of Scilex Common Stock. The Put Option settled on March 17, 2023 and resulted in the Reporting Person
F2: (Continued Footnote 1) acquiring 19,500 shares of Sorrento Common Stock at a price of $0.80268 per share of Sorrento Common Stock, in addition to 2,730 shares of Scilex Common Stock at a price of $8.6002 per share of Scilex Common Stock.
F3: Shares are held in family trusts of which the Reporting Person is a co-trustee with his spouse.
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 |
|---|---|---|---|---|---|---|
| April 17, 2026 Filed Apr 20, 2026 12:52 UTC | Scilex Holding Co SCLX · Entity 7345 | SaleWarrant (right to buy) · Derivative | 650,000 | $0.15 Strike: $1.20 | $99,970.00 |
DisclosureSEC source: 0001193125-26-162846 · ownership.xml · derivative · entry 2 Ji Henry · CIK 0001470981 · Director · Exec Chair, CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,600,000 Underlying: Common Stock · 650,000 shares Expires 2029-06-18 Read SEC document |
| April 16, 2026 Filed Apr 20, 2026 12:52 UTC | Scilex Holding Co SCLX · Entity 7345 | PurchaseWarrant (right to buy) · Derivative | 3,250,000 | $0.15 Strike: $1.20 | $499,850.00 |
DisclosureSEC source: 0001193125-26-162846 · ownership.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · Exec Chair, CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,250,000 Underlying: Common Stock · 3,250,000 shares Expires 2029-06-18 Read SEC document |
| October 08, 2025 Filed Oct 9, 2025 12:42 UTC | Scilex Holding Co SCLX · Entity 7345 | GrantIncentive Stock Option (right to buy) · Derivative | 120,000 | $0.00 Strike: $17.58 | $0.00 |
DisclosureSEC source: 0001193125-25-235241 · ownership.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2035-10-08 F1 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest on a monthly basis following the grant date, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Notwithstanding the preceding sentence, the shares of Common Stock subject to the Option will not be exercisable until such date as the Issuer's outstanding indebtedness under the Senior Secured Promissory Note issued by the Issuer to Oramed Pharmaceuticals, Inc. on September 21, 2023 and the Tranche B Senior Secured Convertible Notes issued by the Issuer to each of Oramed Pharmaceuticals, Inc., Nomis Bay Ltd., 3i LP and BPY Limited, has been repaid in full. Read SEC document |
| October 31, 2024 Filed Oct 31, 2024 16:44 UTC | Scilex Holding Co SCLX · Entity 7345 | PurchaseCommon Stock | 8,888 | $0.94 | $8,351.16 |
DisclosureSEC source: 0000950170-24-119394 · ownership.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 320,161 F1 · kind: Open market purchase by the reporting person of 8,888 shares of common stock, par value $0.0001 per share (the "Common Stock"). Read SEC document |
| October 17, 2024 Filed Oct 18, 2024 13:08 UTC | Scilex Holding Co SCLX · Entity 7345 | PurchaseCommon Stock | 10,000 | $0.97 | $9,710.00 |
DisclosureSEC source: 0000950170-24-115449 · ownership.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: No plan indicated Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 60,070 F1 · kind: Open market purchase by the reporting person of 10,000 shares of common stock, par value $0.0001 per share (the "Common Stock"). Read SEC document |
| June 18, 2024 Filed Jun 19, 2024 01:26 UTC | Scilex Holding Co SCLX · Entity 7345 | Exercise / conversionNonstatutory Stock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0000950170-24-075213 · ownership.xml · derivative · entry 6 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 194,000 Underlying: Common Stock · 6,000 shares Expires 2033-10-04 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: 1/48th of the number of shares subject to the option vested and shall vest on a monthly basis following the grant date, which was October 4, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| June 18, 2024 Filed Jun 19, 2024 01:26 UTC | Scilex Holding Co SCLX · Entity 7345 | Exercise / conversionCommon Stock | 6,000 | $1.41 | $8,460.00 |
DisclosureSEC source: 0000950170-24-075213 · ownership.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 311,273 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 · kind: 1/48th of the number of shares subject to the option vested and shall vest on a monthly basis following the grant date, which was October 4, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| May 17, 2024 Filed May 17, 2024 22:42 UTC | Scilex Holding Co SCLX · Entity 7345 | PurchaseCommon Stock | 50,000 | $0.88 | $43,985.00 |
DisclosureSEC source: 0000950170-24-062009 · ownership.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: No plan indicated Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 50,070 F1 · shares: Open market purchase by the reporting person of 50,000 shares of common stock, par value $0.0001 per share (the "Common Stock"). The number of shares of Common Stock reported represents an aggregate number of shares purchased in multiple open market transactions over a range of sales prices. F2 · price: Reflects the weighted average price of the shares of Common Stock purchased on the open market in multiple transactions on May 17, 2024 at prices ranging from $0.8700 to $0.8800 per share, inclusive. The amount reflected has been rounded to 4 decimal points. F3 · price: The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of such shares of Common Stock purchased at each separate price within such range. Read SEC document |
| October 04, 2023 Filed Oct 6, 2023 01:35 UTC | Scilex Holding Co SCLX · Entity 7345 | GrantNonstatutory Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0000950170-23-052259 · ownership.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-10-04 F1 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest on a monthly basis following the grant date, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| March 17, 2023 Filed Mar 20, 2023 19:52 UTC | Sorrento Therapeutics, Inc. SRNEQ · Entity 109201 | Disposition to issuerPut Option (obligation to buy) · Derivative | 195 | $0.00 Strike: $0.80 | $0.00 |
DisclosureSEC source: 0000899243-23-009159 · doc4.xml · derivative · entry 5 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 0 Underlying: Common Stock · 19,500 shares Expires 2023-03-17 Read SEC document |
| March 17, 2023 Filed Mar 20, 2023 19:52 UTC | Sorrento Therapeutics, Inc. SRNEQ · Entity 109201 | OtherCommon Stock | 19,500 | $0.80 | $15,652.65 |
DisclosureSEC source: 0000899243-23-009159 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 20,000 F1 · kind: On December 30, 2022, the Issuer's Board of Directors declared a stock dividend (the "Dividend") to all holders of record of its common stock as of the close of business on January 9, 2023, of 0.1410127 of a share of common stock, par value $0.0001 per share, of Scilex Holding Company ("Scilex Common Stock") for each one share of common stock, par value $0.0001 per share, of the Issuer ("Sorrento Common Stock"). The Put Option written by the Reporting Person on August 26, 2022 (the "Put Option") was previously reported at an exercise price of $5.50 per share of Sorrento Common Stock, which was adjusted as a result of the Dividend to relate to an aggregate of 19,500 shares of Sorrento Common Stock and 2,730 shares of Scilex Common Stock and to reflect a corresponding change to the exercise price of the Put Option to $0.80268 per share of Sorrento Common Stock and $8.6002 per share of Scilex Common Stock. The Put Option settled on March 17, 2023 and resulted in the Reporting Person F2 · kind: (Continued Footnote 1) acquiring 19,500 shares of Sorrento Common Stock at a price of $0.80268 per share of Sorrento Common Stock, in addition to 2,730 shares of Scilex Common Stock at a price of $8.6002 per share of Scilex Common Stock. Read SEC document |
| March 17, 2023 Filed Mar 20, 2023 21:19 UTC | Scilex Holding Co SCLX · Entity 7345 | OtherCommon Stock | 2,730 | $8.60 | $23,478.55 |
DisclosureSEC source: 0000899243-23-009127 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: No plan indicated Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 2,730 F1 · kind: On December 30, 2022, the Board of Directors of Sorrento Therapeutics, Inc. ("Sorrento") declared a stock dividend (the "Dividend") to all holders of record of its common stock as of the close of business on January 9, 2023, of 0.1410127 of a share of common stock, par value $0.0001 per share, of the Issuer ("Scilex Common Stock") for each one share of common stock, par value $0.0001 per share, of Sorrento ("Sorrento Common Stock"). The Reporting Person wrote a put option in Sorrento Common Stock on August 26, 2022 (the "Put Option"), which was adjusted as a result of the Stock Dividend to relate to an aggregate of 19,500 shares of Sorrento Common Stock and 2,730 shares of Scilex Common Stock and to reflect a corresponding change to the exercise price of the Put Option to $0.80268 per share of Sorrento Common Stock and $8.6002 per share of Scilex Common Stock. F2 · kind: (continued from footnote 1) The Put Option settled on March 17, 2023 and resulted in the Reporting Person acquiring 2,730 shares of Scilex Common Stock at a price of $8.6002 per share of Scilex Common Stock, in addition to 19,500 shares of Sorrento Common Stock at a price of $0.80268 per share of Sorrento Common Stock. Read SEC document |
| January 17, 2023 Filed Jan 17, 2023 22:21 UTC | Scilex Holding Co SCLX · Entity 7345 | GrantNonstatutory Stock Option (right to buy) · Derivative | 9,000,000 | $0.00 Strike: $8.08 | $0.00 |
DisclosureSEC source: 0000899243-23-001866 · doc4.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · Executive Chairperson 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000,000 Underlying: Common Stock · 9,000,000 shares Expires 2033-01-17 F1 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest on a monthly basis following the grant date, subject to the Reporting Party's continued service to the Issuer through each such vesting date. Read SEC document |
| December 21, 2022 Filed Dec 23, 2022 14:28 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherPut Option (obligation to buy) · Derivative | 3 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001209191-22-062586 · doc4.xml · derivative · entry 7 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 195 Underlying: Common Stock · 300 shares Expires 2023-03-17 Read SEC document |
| December 21, 2022 Filed Dec 23, 2022 14:28 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherCommon Stock | 300 | $5.50 | $1,650.00 |
DisclosureSEC source: 0001209191-22-062586 · doc4.xml · nonDerivative · entry 2 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 500 Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 20:10 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantCommon Stock | 1,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-061746 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,265,805 F1 · date: The grant to the Reporting Person of a restricted stock unit award for 1,500,000 shares of the Issuer's common stock (the "RSU Award") was approved by the compensation committee of the board of directors of the Issuer on September 1, 2022 and was granted to the Reporting Person on September 2, 2022. The RSU Award was conditioned upon and subject to the Issuer's stockholders approving an amendment to the Issuer's 2019 Stock Incentive Plan to increase the number of shares authorized for issuance thereunder (the "Plan Amendment"). The Issuer's stockholders approved the Plan Amendment on December 15, 2022. F2 · shares: The reported securities are shares subject to the RSU Award. 1/4th of the shares subject to the RSU Award shall vest on September 2, 2023 and 1/4th of the shares subject to the RSU Award shall vest on each anniversary thereafter. Read SEC document |
| December 02, 2022 Filed Dec 23, 2022 14:28 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherPut Option (obligation to buy) · Derivative | 2 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001209191-22-062586 · doc4.xml · derivative · entry 6 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 198 Underlying: Common Stock · 200 shares Expires 2023-03-17 Read SEC document |
| December 02, 2022 Filed Dec 23, 2022 14:28 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherCommon Stock | 200 | $5.50 | $1,100.00 |
DisclosureSEC source: 0001209191-22-062586 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 200 Read SEC document |
| September 07, 2022 Filed Sep 7, 2022 18:22 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCall Option (right to buy) · Derivative | 129 | $41.66 Strike: $12.00 | $5,374.14 |
DisclosureSEC source: 0001209191-22-049065 · doc4.xml · derivative · entry 5 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 129 Underlying: Common Stock · 12,900 shares Expires 2024-01-19 Read SEC document |
| September 07, 2022 Filed Sep 7, 2022 18:22 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCall Option (right to buy) · Derivative | 759 | $40.66 Strike: $12.00 | $30,860.94 |
DisclosureSEC source: 0001209191-22-049065 · doc4.xml · derivative · entry 4 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 759 Underlying: Common Stock · 75,900 shares Expires 2024-01-19 Read SEC document |
| September 07, 2022 Filed Sep 7, 2022 18:22 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 88,888 | $2.02 | $179,349.32 |
DisclosureSEC source: 0001209191-22-049065 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,765,805 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.01 to $2.02, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| September 06, 2022 Filed Sep 6, 2022 17:24 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 55,555 | $1.96 | $108,882.24 |
DisclosureSEC source: 0001209191-22-048811 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,676,917 Read SEC document |
| September 02, 2022 Filed Sep 2, 2022 16:31 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantCommon Stock | 2,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-048514 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,621,362 F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on September 2, 2023 and 1/4th of which shall vest on each anniversary thereafter. Read SEC document |
| August 26, 2022 Filed Aug 26, 2022 17:33 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | SalePut Option (obligation to buy) · Derivative | 200 | $349.33 Strike: $5.50 | $69,865.96 |
DisclosureSEC source: 0001209191-22-047741 · doc4.xml · derivative · entry 4 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 200 Underlying: Common Stock · 20,000 shares Expires 2023-03-17 Read SEC document |
| August 26, 2022 Filed Aug 26, 2022 17:33 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 33,333 | $2.11 | $70,332.63 |
DisclosureSEC source: 0001209191-22-047741 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,121,362 Read SEC document |
| August 25, 2022 Filed Aug 25, 2022 17:18 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCall Option (right to buy) · Derivative | 1,000 | $30.66 Strike: $15.00 | $30,660.00 |
DisclosureSEC source: 0001209191-22-047558 · doc4.xml · derivative · entry 4 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By BioVintage, Inc. Disclosed balance after: 1,000 Underlying: Common Stock · 100,000 shares Expires 2024-01-19 Read SEC document |
| August 25, 2022 Filed Aug 25, 2022 17:18 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 22,222 | $2.06 | $45,768.43 |
DisclosureSEC source: 0001209191-22-047558 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,088,029 Read SEC document |
| June 14, 2022 Filed Jun 14, 2022 17:15 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 10,000 | $1.40 | $13,999.00 |
DisclosureSEC source: 0001209191-22-036760 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,065,807 Read SEC document |
| September 29, 2021 Filed Sep 29, 2021 14:35 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | Exercise / conversionNon-qualified stock options · Derivative | 10,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001209191-21-058036 · doc4.xml · derivative · entry 4 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2022-02-06 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. F2 · derivative.exercise_date: The option vested in four equal annual installments on January 1, 2013, January 1, 2014, January 1, 2015 and January 1, 2016, respectively. Read SEC document |
| September 29, 2021 Filed Sep 29, 2021 14:35 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | Exercise / conversionCommon Stock | 10,000 | $4.00 | $40,000.00 |
DisclosureSEC source: 0001209191-21-058036 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,055,807 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 30, 2021 Filed Aug 30, 2021 20:16 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantStock option (right to buy) · Derivative | 2,500,000 | $0.00 Strike: $8.86 | $0.00 |
DisclosureSEC source: 0001209191-21-053987 · doc4.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500,000 Underlying: Common Stock · 2,500,000 shares Expires 2031-08-30 F1 · derivative.exercise_date: 1/4th of the original number of shares subject to the option shall vest on August 30, 2022, and 1/48th of the original number of shares subject to the option shall vest following each one month period of service after August 30, 2022, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 09:00 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 24,935,882 | $0.00 Strike: $17.30 | $0.00 |
DisclosureSEC source: 0001104659-20-116285 · tm2033858d1_4.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,935,882 Underlying: Common Stock · 24,935,882 shares Expires 2030-08-07 F1 · date: The performance-based stock option award (the "Award") was approved by the compensation committee of the board of directors of the Issuer on August 7, 2020, subject to stockholder approval of the Award. The Issuer's stockholders approved the Award on October 16, 2020. F2 · derivative.exercise_date: The Award will vest in nine tranches of 2,493,588 shares and a final tranche of 2,493,590 shares, in each case upon the market capitalization of the Issuer's common stock reaching certain milestone thresholds. Read SEC document |
| June 15, 2020 Filed Jun 15, 2020 18:08 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantStock Options · Derivative | 1,500,000 | $0.00 Strike: $4.89 | $0.00 |
DisclosureSEC source: 0000850261-20-000040 · wf-form4_159225888472376.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500,000 Underlying: Common Stock · 1,500,000 shares Expires 2030-06-15 F1 · derivative.exercise_date: 1/4th of the original number of shares subject to the option shall vest on June 15, 2021, and 1/48th of the original number of shares subject to the option shall vest following each one month period of service after June 15, 2021, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| April 19, 2019 Filed Apr 23, 2019 21:01 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantStock Options · Derivative | 1,500,000 | $0.00 Strike: $3.78 | $0.00 |
DisclosureSEC source: 0000850261-19-000013 · wf-form4_155606768210161.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500,000 Underlying: Common Stock · 1,500,000 shares Expires 2029-04-19 F1 · derivative.exercise_date: 1/4th of the original number of shares subject to the option shall vest on April 14, 2020 and 1/48th of the original number of shares subject to the option shall vest following each one month period of service after April 14, 2020, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| July 20, 2018 Filed Jul 23, 2018 06:50 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | Exercise / conversionCommon Stock · Derivative | 6,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000850261-18-000029 · wf-form4_153234301298903.xml · derivative · entry 4 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2020-02-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: This option vested over a four-year period commencing on February 16, 2010, with 25% of the shares subject to the option vesting on each anniversary of the vesting commencement date. The shares were fully vested as of February 16, 2014. Read SEC document |
| July 20, 2018 Filed Jul 23, 2018 06:50 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | Exercise / conversionCommon Stock | 6,000 | $1.75 | $10,500.00 |
DisclosureSEC source: 0000850261-18-000029 · wf-form4_153234301298903.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,045,807 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 · balance_after: Since February 28, 2018, the date of the Reporting Person's last Form 4 disclosing holdings under Table I of Form 4 (the "Prior Form 4"), the Reporting Person has transferred shares of Common Stock among his direct holdings, the holdings of his spouse, the holdings of family trusts of which the Reporting Person is co-trustee with his spouse and the holdings of an entity of which the Reporting Person and his spouse are the sole members and managing directors. 2,999 shares of Common Stock beneficially owned by the Reporting Person were also inadvertently omitted from the Prior Form 4. Read SEC document |
| May 17, 2018 Filed May 17, 2018 21:01 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantStock Options · Derivative | 750,000 | $0.00 Strike: $7.20 | $0.00 |
DisclosureSEC source: 0000850261-18-000021 · wf-form4_152660529478377.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2028-05-17 F1 · derivative.exercise_date: 1/4th of the original number of shares subject to the option shall vest on May 17, 2019 and 1/48th of the original number of shares subject to the option shall vest following each one month period of service after May 17, 2019, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| February 28, 2018 Filed Feb 28, 2018 19:04 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 64,600 | $9.95 | $642,770.00 |
DisclosureSEC source: 0000850261-18-000009 · wf-form4_151986264772624.xml · nonDerivative · entry 2 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,906,177 Read SEC document |
| February 28, 2018 Filed Feb 28, 2018 19:04 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherCommon Stock | 124,298 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000850261-18-000009 · wf-form4_151986264772624.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 260,161 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"), an entity of which the Reporting Person and his spouse are the sole members and managing directors sold 1,368,681 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on February 28, 2018, the Issuer issued such entity 124,298 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, such entity'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"), an entity of which the Reporting Person and his spouse are the sole members and managing directors sold 1,368,681 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on February 28, 2018, the Issuer issued such entity 124,298 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, such entity's right to receive such shares became fixed and irrevocable on November 8, 2016. F2 · ownership.nature: Shares are held by an entity of which the Reporting Person and his spouse are the sole members and managing directors. Read SEC document |
| January 21, 2018 Filed Jan 22, 2018 07:28 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock Warrant (right to buy) · Derivative | 261,438 | Not disclosed Strike: $8.50 | Not disclosed |
DisclosureSEC source: 0001144204-18-002932 · tv483718_4.xml · derivative · entry 5 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,438 Underlying: Common Stock · 261,438 shares Expires 2019-06-07 F1 · date: On January 21, 2018, the Reporting Person entered into a Securities Purchase Agreement (the "SPA") with a third party whereby the Reporting Person agreed to purchase from the third party, and the third party agreed to sell to the Reporting Person, an aggregate of 1,801,801 shares of the Issuer's common stock (the "Shares") and a warrant to purchase an aggregate of 261,438 shares of the Issuer's common stock (the "Warrant"). The closing of the purchase and sale of the Shares and the Warrant as contemplated by the SPA has not yet occurred, but is expected to close no later than February 19, 2018. As the closing of the purchase and sale of the Shares and the Warrant is not subject to satisfaction of material conditions beyond the control of the parties, the Reporting Person is reporting the purchase of the Shares and the Warrant at this time. F2 · price: The aggregate purchase price for the Shares and the Warrant pursuant to the SPA is $11,531,526.40. Read SEC document |
| January 21, 2018 Filed Jan 22, 2018 07:28 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 1,801,801 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-002932 · tv483718_4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,841,577 F1 · date: On January 21, 2018, the Reporting Person entered into a Securities Purchase Agreement (the "SPA") with a third party whereby the Reporting Person agreed to purchase from the third party, and the third party agreed to sell to the Reporting Person, an aggregate of 1,801,801 shares of the Issuer's common stock (the "Shares") and a warrant to purchase an aggregate of 261,438 shares of the Issuer's common stock (the "Warrant"). The closing of the purchase and sale of the Shares and the Warrant as contemplated by the SPA has not yet occurred, but is expected to close no later than February 19, 2018. As the closing of the purchase and sale of the Shares and the Warrant is not subject to satisfaction of material conditions beyond the control of the parties, the Reporting Person is reporting the purchase of the Shares and the Warrant at this time. F2 · price: The aggregate purchase price for the Shares and the Warrant pursuant to the SPA is $11,531,526.40. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 21:46 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantStock Options · Derivative | 750,000 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001144204-17-048363 · v475329_4.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 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 21:27 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherCommon Stock | 67,932 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-048349 · v475332_4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 135,863 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"), an entity of which the Reporting Person and his spouse are the sole members and managing directors sold 1,368,681 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on September 11, 2017, the Issuer issued such entity 67,932 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, such entity'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"), an entity of which the Reporting Person and his spouse are the sole members and managing directors sold 1,368,681 shares of common stock of Scilex to the Issuer and, upon the achievement of a milestone on September 11, 2017, the Issuer issued such entity 67,932 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, such entity's right to receive such shares became fixed and irrevocable on November 8, 2016. F2 · ownership.nature: Shares are held by an entity of which the Reporting Person and his spouse are the sole members and managing directors. Read SEC document |
| June 15, 2017 Filed Jun 15, 2017 16:20 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 9,000 | $1.84 | $16,560.00 |
DisclosureSEC source: 0001144204-17-032732 · v469087_4.xml · nonDerivative · entry 2 Ji Henry · CIK 0001470981 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 29,001 Read SEC document |
| June 15, 2017 Filed Jun 15, 2017 16:20 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 20,001 | $1.80 | $36,001.80 |
DisclosureSEC source: 0001144204-17-032732 · v469087_4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 20,001 Read SEC document |
| April 19, 2017 Filed Apr 19, 2017 16:12 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 100,000 | $2.00 | $200,000.00 |
DisclosureSEC source: 0001144204-17-021046 · v464547_4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,776 Read SEC document |
| February 22, 2017 Filed Feb 22, 2017 17:08 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 2,000 | $5.60 | $11,200.00 |
DisclosureSEC source: 0000899243-17-004969 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,776 Read SEC document |
| February 10, 2017 Filed Feb 10, 2017 19:43 UTC Amendment | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 20,000 | $5.15 | $103,000.00 |
DisclosureSEC source: 0000899243-17-003639 · doc4a.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,776 F1 · date: This amended report on Form 4 is being filed to amend the Form 4 filed by the reporting person on February 3, 2017 to correct the transaction date, which was inadvertently reported as February 3, 2017. Read SEC document |
| February 03, 2017 Filed Feb 3, 2017 19:47 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | PurchaseCommon Stock | 20,000 | $5.15 | $103,000.00 |
DisclosureSEC source: 0000899243-17-002783 · doc4.xml · nonDerivative · entry 1 Ji Henry · CIK 0001470981 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,776 Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 20:10 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | OtherStock Options · Derivative | 200,000 | Not disclosed Strike: $6.52 | Not disclosed |
DisclosureSEC source: 0000899243-16-033416 · doc4.xml · derivative · entry 1 Ji Henry · CIK 0001470981 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 200,000 shares Expires 2026-08-12 F1 · kind: On November 11, 2016, the Issuer and the Reporting Person agreed to rescind 200,000 of the shares subject to the option to purchase 500,000 shares of the Issuer's common stock that was granted to the Reporting Person on August 12, 2016. F1 · price: On November 11, 2016, the Issuer and the Reporting Person agreed to rescind 200,000 of the shares subject to the option to purchase 500,000 shares of the Issuer's common stock that was granted to the Reporting Person on August 12, 2016. F2 · derivative.exercise_date: 1/4 of the 300,000 shares remaining subject to the option shall vest on August 12, 2017 and 1/48 of the original number of shares subject to the option shall vest following each one month period of service after August 12, 2017, subject to the Reporting Person's continued service to the Issuer through each such vesting date. 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.