person · Reporting owner

SOON-SHIONG PATRICK

Disclosed activity across 7 companies

Tapewire entity: 54234
SEC CIK: 0001189020

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Benitec Biopharma Inc.BNTC · Entity 5596	10% owner	April 15, 2020	April 27, 2020
Heliogen, Inc.HLGN · Entity 78373	10% owner	February 15, 2024	February 20, 2024
ImmunityBio, Inc.IBRX · Entity 3618	Director · See remarks · 10% owner	March 31, 2026	April 03, 2026
NantHealth, Inc.NH · Entity 109592	Director · Chief Executive Officer · 10% owner	August 28, 2023	August 30, 2023
PDS Biotechnology CorpPDSB · Entity 7939	Director · 10% owner	September 14, 2026	September 22, 2026
Panbela Therapeutics, Inc.PBLA · Entity 11460	10% owner	November 15, 2024	November 19, 2024
Tribune Publishing CoTRNC · Entity 138878	Director · 10% owner	March 20, 2017	March 21, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Benitec Biopharma Inc.

Report date April 15, 2020 · Filed April 27, 2020

Jointly reported with Nant Capital, LLC, CALIFORNIA CAPITAL EQUITY, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	195,372	Reported balance Holding disclosure · report date 2020-04-15 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 195,372
Common StockSEC Table I · non-derivative	Direct	97,686	Reported balance Holding disclosure · report date 2020-04-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 97,686 F1: These shares are held by Merrill Lynch (Australia) Nominees Pty Limited for the account for the account of the Reporting Person.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are held by Merrill Lynch (Australia) Nominees Pty Limited for the account for the account of the Reporting Person.

Heliogen, Inc.

Report date February 15, 2024 · Filed February 20, 2024

Jointly reported with Nant Capital, LLC, Cambridge Equities, LP, MP 13 Ventures, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	442,298	Reported balance After 2024-02-15 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2024-02-15 · Purchase · Acquired 442,298 · Balance 442,298 F1: Common Stock of the Issuer acquired by Cambridge Equities, LP ("Cambridge Equities") in a private transaction pursuant to a Stock Transfer Agreement. F2: The purchase price was calculated based on the OTCQX Best Market volume weighted average closing price of the Issuer's common stock, as reported by OTC Markets Group Inc. during the ten (10) trading day period ending on the trading day prior to the date of sale. F3: Transaction previously reported on Form 3 jointly filed by Cambridge Equities and MP13 Ventures, LLC ("MP 13 Ventures"). F4: Shares owned by Cambridge Equities, who is a member of a "group" with Nant Capital, LLC ("Nant Capital") and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. MP13 Ventures is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities and Dr. Patrick Soon-Shiong is the sole member of MP13 Ventures. As a result, MP13 Ventures and Dr. Soon-Shiong may be deemed to beneficially own, and share with Cambridge Equities the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Cambridge Equities. F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest.
Common StockSEC Table I · non-derivative	Direct	946,275	Reported balance Holding disclosure · report date 2024-02-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 946,275 F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest. F6: These shares are owned by Nant Capital, who is a member of a "group" with Cambridge Equities and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Dr. Soon-Shiong is the sole member of Nant Capital and thus may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Nant Capital.
Common StockSEC Table I · non-derivative	Direct	67,020	Reported balance Holding disclosure · report date 2024-02-15 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 67,020 F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest. F7: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital and Cambridge Equities for purposes of Section 13(d) of the Exchange Act.

Filing footnotes · ownership attribution and instrument terms

F1: Common Stock of the Issuer acquired by Cambridge Equities, LP ("Cambridge Equities") in a private transaction pursuant to a Stock Transfer Agreement.

F2: The purchase price was calculated based on the OTCQX Best Market volume weighted average closing price of the Issuer's common stock, as reported by OTC Markets Group Inc. during the ten (10) trading day period ending on the trading day prior to the date of sale.

F3: Transaction previously reported on Form 3 jointly filed by Cambridge Equities and MP13 Ventures, LLC ("MP 13 Ventures").

F4: Shares owned by Cambridge Equities, who is a member of a "group" with Nant Capital, LLC ("Nant Capital") and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. MP13 Ventures is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities and Dr. Patrick Soon-Shiong is the sole member of MP13 Ventures. As a result, MP13 Ventures and Dr. Soon-Shiong may be deemed to beneficially own, and share with Cambridge Equities the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Cambridge Equities.

F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest.

F6: These shares are owned by Nant Capital, who is a member of a "group" with Cambridge Equities and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Dr. Soon-Shiong is the sole member of Nant Capital and thus may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Nant Capital.

F7: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital and Cambridge Equities for purposes of Section 13(d) of the Exchange Act.

ImmunityBio, Inc.

Report date March 31, 2026 · Filed April 03, 2026

Jointly reported with CALIFORNIA CAPITAL EQUITY, LLC, Cambridge Equities, LP, MP 13 Ventures, LLC, Nant Capital, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	251,018,873	Reported balance After 2026-03-31 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2026-03-31 · Conversion · Acquired 4,606,596 · Balance 251,018,873 F1: Shares held by Nant Capital, LLC, an investment vehicle of the Reporting Person.
Common StockSEC Table I · non-derivative	IndirectSee footnote	261,705,814	Reported balance Holding disclosure · report date 2026-03-31 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 261,705,814 F2: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The Reporting Person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	8,383,414	Reported balance Holding disclosure · report date 2026-03-31 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 8,383,414 F3: Shares held by NantBio, Inc. ("NantBio"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the shares held by NantBio. The Reporting Person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the shares held by NantBio.
Common StockSEC Table I · non-derivative	IndirectSee footnote	5,618,326	Reported balance Holding disclosure · report date 2026-03-31 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 5,618,326 F5: Shares held by the Chan Soon-Shiong Family Foundation, an exempt corporation organized under the laws of the State of Delaware (the "Foundation"). The Foundation has the sole power to vote and direct the disposition of all shares directly owned by the Foundation, except to the extent it may be deemed to share such power with the Reporting Person by virtue of the Reporting Person's control over the Foundation. The Reporting Person serves as Chairman of the Foundation.
Common StockSEC Table I · non-derivative	IndirectSee footnote	9,986,920	Reported balance Holding disclosure · report date 2026-03-31 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 9,986,920 F6: Shares held by NantWorks. CalCap directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The Reporting Person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks.
Common StockSEC Table I · non-derivative	IndirectSee footnote	47,557,934	Reported balance Holding disclosure · report date 2026-03-31 · row 8 Holding and transaction disclosures are not merged. 1 source row Row 8 · Balance 47,557,934 F7: Shares held by NantMobile, LLC ("NantMobile"). NantWorks is the majority stockholder and an affiliate of NantMobile and may be deemed to have beneficial ownership of the securities held by NantMobile. The Reporting Person is the Chief Executive Officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantMobile.
Common StockSEC Table I · non-derivative	IndirectSee footnote	32,606,985	Reported balance Holding disclosure · report date 2026-03-31 · row 9 Holding and transaction disclosures are not merged. 1 source row Row 9 · Balance 32,606,985 F8: Shares held by NantCancerStemCell, LLC ("NantCancerStemCell"). NantBio is the majority stockholder and an affiliate of NantCancerStemCell and may be deemed to have beneficial ownership of the securities held by NantCancerStemCell. NantWorks is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the securities held by NantBio and its affiliates. The Reporting Person is the Chief Executive Officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantBio and its affiliates.
Second Amended and Restated Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $5.43 · Expires 2027-12-31	IndirectSee footnote	Not disclosed	Reported balance After 2026-03-31 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2026-03-31 · Conversion · Disposed Not disclosed · Balance Not disclosed F9: Nant Capital has the right at any time after December 10, 2024 and on or before December 31, 2027 to convert all or a portion of the outstanding principal amount of this Second Amended and Restated Promissory Note, as amended January 23, 2026, into fully paid and nonassessable shares of the Issuer's common stock at a price per share equal to $5.427. On March 31, 2026, Nant Capital delivered notice to the Issuer electing to convert outstanding principal in the amount of $25,000,000 into 4,606,596 shares of the Issuer's common stock. F1: Shares held by Nant Capital, LLC, an investment vehicle of the Reporting Person.
Common StockSEC Table I · non-derivative	Direct	29,757,911	Reported balance Holding disclosure · report date 2026-03-31 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 29,757,911
Common StockSEC Table I · non-derivative	IndirectSee footnte	7,976,159	Reported balance Holding disclosure · report date 2026-03-31 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 7,976,159 F4: Shares held by California Capital Equity, LLC ("CalCap"). The Reporting Person owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.

Filing footnotes · ownership attribution and instrument terms

F1: Shares held by Nant Capital, LLC, an investment vehicle of the Reporting Person.

F2: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The Reporting Person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities.

F3: Shares held by NantBio, Inc. ("NantBio"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the shares held by NantBio. The Reporting Person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the shares held by NantBio.

F4: Shares held by California Capital Equity, LLC ("CalCap"). The Reporting Person owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.

F5: Shares held by the Chan Soon-Shiong Family Foundation, an exempt corporation organized under the laws of the State of Delaware (the "Foundation"). The Foundation has the sole power to vote and direct the disposition of all shares directly owned by the Foundation, except to the extent it may be deemed to share such power with the Reporting Person by virtue of the Reporting Person's control over the Foundation. The Reporting Person serves as Chairman of the Foundation.

F6: Shares held by NantWorks. CalCap directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The Reporting Person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks.

F7: Shares held by NantMobile, LLC ("NantMobile"). NantWorks is the majority stockholder and an affiliate of NantMobile and may be deemed to have beneficial ownership of the securities held by NantMobile. The Reporting Person is the Chief Executive Officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantMobile.

F8: Shares held by NantCancerStemCell, LLC ("NantCancerStemCell"). NantBio is the majority stockholder and an affiliate of NantCancerStemCell and may be deemed to have beneficial ownership of the securities held by NantCancerStemCell. NantWorks is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the securities held by NantBio and its affiliates. The Reporting Person is the Chief Executive Officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantBio and its affiliates.

F9: Nant Capital has the right at any time after December 10, 2024 and on or before December 31, 2027 to convert all or a portion of the outstanding principal amount of this Second Amended and Restated Promissory Note, as amended January 23, 2026, into fully paid and nonassessable shares of the Issuer's common stock at a price per share equal to $5.427. On March 31, 2026, Nant Capital delivered notice to the Issuer electing to convert outstanding principal in the amount of $25,000,000 into 4,606,596 shares of the Issuer's common stock.

NantHealth, Inc.

Report date August 28, 2023 · Filed August 30, 2023

Jointly reported with CALIFORNIA CAPITAL EQUITY, LLC, NantWorks, LLC, Nant Capital, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	15,384,616	Reported balance After 2023-08-28 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2023-08-28 · Purchase · Acquired 15,384,616 · Balance 15,384,616 F1: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F2: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	15,921,888	Reported balance After 2023-08-28 transaction · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · 2023-08-28 · Purchase · Acquired 537,272 · Balance 15,921,888 F1: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F3: $10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note. F2: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	4,453,507	Reported balance Holding disclosure · report date 2023-08-28 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 4,453,507 F4: Includes (i) 4,147,469 shares of our common stock held by NantWorks, LLC; (ii) 193,426 shares of our common stock held by NantOmics, LLC; and (iii) 112,612 shares of our common stock held by Cambridge Equities, LP. NantWorks, LLC is the largest member of NantOmics, LLC, holding approximately 84% of the outstanding equity and approximately 99% of the outstanding voting equity. Dr. Patrick Soon-Shiong, is the controlling member of NantWorks, LLC with voting and dispositive power over the shares of the stock held by NantWorks, LLC. Dr. Patrick Soon-Shiong, indirectly owns all of the equity interests in NantWorks, LLC and Cambridge Equities, LP, and has voting and dispositive powers over the shares. F5: On December 15, 2022, the issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split") of its outstanding shares of Common Stock. The numbers of shares of Common Stock reported on this Form 4 have been adjusted to reflect the Reverse Split unless otherwise noted.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement.

F2: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.

F3: $10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note.

F4: Includes (i) 4,147,469 shares of our common stock held by NantWorks, LLC; (ii) 193,426 shares of our common stock held by NantOmics, LLC; and (iii) 112,612 shares of our common stock held by Cambridge Equities, LP. NantWorks, LLC is the largest member of NantOmics, LLC, holding approximately 84% of the outstanding equity and approximately 99% of the outstanding voting equity. Dr. Patrick Soon-Shiong, is the controlling member of NantWorks, LLC with voting and dispositive power over the shares of the stock held by NantWorks, LLC. Dr. Patrick Soon-Shiong, indirectly owns all of the equity interests in NantWorks, LLC and Cambridge Equities, LP, and has voting and dispositive powers over the shares.

F5: On December 15, 2022, the issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split") of its outstanding shares of Common Stock. The numbers of shares of Common Stock reported on this Form 4 have been adjusted to reflect the Reverse Split unless otherwise noted.

PDS Biotechnology Corp

Report date September 14, 2026 · Filed September 22, 2026

Jointly reported with Nant Capital, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	13,005,334	Reported balance Holding disclosure · report date 2026-09-14 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 13,005,334 F1: The reported securities are included within 35,398,230 PIPE Units (the "Units") purchased by Nant Capital, LLC ("Nant Capital") from the Issuer for a price of $0.2825 per Unit in a private placement transaction (the "Private Placement") announced on September 7, 2026, which closed on September 14, 2026. Each Unit is comprised of (i) One (1) share of the Issuer's common stock, par value $0.00033 per share ("Common Stock") or, at the election of a purchaser, a Pre-Funded Warrant to purchase one share of Common Stock (the "Pre-Funded Warrant") in lieu of such shares, and (ii) an accompanying Common Warrant to purchase one-half of one share of Common Stock (the "Common Warrant"). F2: Represents shares of Common Stock purchased directly from the Issuer by Nant Capital in connection with the Private Placement transaction. Dr. Patrick Soon-Shiong is the sole member of Nant Capital and may be deemed to beneficially own the securities held by Nant Capital, subject to any applicable California community property laws.
Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectNant Capital, LLC	Not disclosed	Reported balance Holding disclosure · report date 2026-09-14 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F3: The Pre-Funded Warrants are exercisable at any time and have no expiration date. The Pre-Funded Warrants include an exercise limitation that prohibits the holder from exercising the Pre-Funded Warrants in an amount in excess of the specified ownership threshold of 19.9% of the issued and outstanding shares of Common Stock (the "Pre-Funded Warrant Blocker"). Upon 61 days' prior notice to the Issuer, the holder of the Pre-Funded Warrants may increase or decrease the Pre-Funded Warrant Blocker, provided that the Pre-Funded Warrant Blocker in no event exceeds 19.99% of the issued and outstanding shares of Common Stock. F5: Dr. Patrick Soon-Shiong is the sole member of Nant Capital and may be deemed to beneficially own the securities held by Nant Capital, subject to any applicable California community property laws.
Common WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.22 · Expires 2028-09-14	IndirectNant Capital, LLC	Not disclosed	Reported balance Holding disclosure · report date 2026-09-14 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F4: The Common Warrants are exercisable at any time from the date of issuance through 5:00 p.m., New York City time, on the one-year anniversary of the date of issuance. The Common Warrants include an exercise limitation that prohibits the holder from exercising the Common Warrants in an amount in excess of the specified ownership threshold of 19.9% of the issued and outstanding shares of Common Stock (the "Common Warrant Blocker"). Upon 61 days' prior notice to the Issuer, the holder of the Common Warrants may increase or decrease the Common Warrant Blocker, provided that the Common Warrant Blocker in no event exceeds 19.99% of the issued and outstanding shares of Common Stock F5: Dr. Patrick Soon-Shiong is the sole member of Nant Capital and may be deemed to beneficially own the securities held by Nant Capital, subject to any applicable California community property laws.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are included within 35,398,230 PIPE Units (the "Units") purchased by Nant Capital, LLC ("Nant Capital") from the Issuer for a price of $0.2825 per Unit in a private placement transaction (the "Private Placement") announced on September 7, 2026, which closed on September 14, 2026. Each Unit is comprised of (i) One (1) share of the Issuer's common stock, par value $0.00033 per share ("Common Stock") or, at the election of a purchaser, a Pre-Funded Warrant to purchase one share of Common Stock (the "Pre-Funded Warrant") in lieu of such shares, and (ii) an accompanying Common Warrant to purchase one-half of one share of Common Stock (the "Common Warrant").

F2: Represents shares of Common Stock purchased directly from the Issuer by Nant Capital in connection with the Private Placement transaction. Dr. Patrick Soon-Shiong is the sole member of Nant Capital and may be deemed to beneficially own the securities held by Nant Capital, subject to any applicable California community property laws.

F3: The Pre-Funded Warrants are exercisable at any time and have no expiration date. The Pre-Funded Warrants include an exercise limitation that prohibits the holder from exercising the Pre-Funded Warrants in an amount in excess of the specified ownership threshold of 19.9% of the issued and outstanding shares of Common Stock (the "Pre-Funded Warrant Blocker"). Upon 61 days' prior notice to the Issuer, the holder of the Pre-Funded Warrants may increase or decrease the Pre-Funded Warrant Blocker, provided that the Pre-Funded Warrant Blocker in no event exceeds 19.99% of the issued and outstanding shares of Common Stock.

F4: The Common Warrants are exercisable at any time from the date of issuance through 5:00 p.m., New York City time, on the one-year anniversary of the date of issuance. The Common Warrants include an exercise limitation that prohibits the holder from exercising the Common Warrants in an amount in excess of the specified ownership threshold of 19.9% of the issued and outstanding shares of Common Stock (the "Common Warrant Blocker"). Upon 61 days' prior notice to the Issuer, the holder of the Common Warrants may increase or decrease the Common Warrant Blocker, provided that the Common Warrant Blocker in no event exceeds 19.99% of the issued and outstanding shares of Common Stock

F5: Dr. Patrick Soon-Shiong is the sole member of Nant Capital and may be deemed to beneficially own the securities held by Nant Capital, subject to any applicable California community property laws.

Panbela Therapeutics, Inc.

Report date November 15, 2024 · Filed November 19, 2024

Jointly reported with Nant Capital, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
8% Senior Convertible Note due 2025SEC Table II · derivative / convertible security · Conversion / exercise price $0.37 · Expires 2025-04-22	Direct	Not disclosed	Reported balance After 2024-11-15 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2024-11-15 · Purchase · Acquired Not disclosed · Balance Not disclosed F1: The holding includes the 8% Senior Convertible Tranche A Note issued on October 22, 2024 ("Tranche A Note") as previously reported on the Form 3 filed on October 29, 2024, and the 8% Senior Convertible Tranche B Note issued on November 15, 2024 (the "Tranche B Note"), in each case issued pursuant to that certain Note Purchase Agreement by and between the Issuer and Nant Capital, LLC ("Nant Capital") dated October 22, 2024 (the "Purchase Agreement"). The Tranche A Note and the Tranche B Note are reported as a single holding (the "Note"). Interest accrues on the unpaid principal amount at a rate equal to 8.0% plus the Monthly SOFR Rate (as defined in the Note), which shall be due and payable in full on April 22, 2025 (the "Maturity Date") F2: Subject to an issuance limitation in the event of a voluntary conversion of the Note occurring prior to the Maturity Date that prohibits Nant Capital from converting the Note to the extent that after giving effect to the issuance of the Issuer's common stock after such conversion, Nant Capital (together with Nant Capital's affiliates, and any other person acting as a group together with Nant Capital or any of Nant Capital's affiliates) would beneficially own in excess of 33.33% of the shares of the Issuer's common stock outstanding. If the Note has not previously been repaid in full in cash or converted in full into shares of the Issuer's common stock on or before the Maturity Date, Nant Capital will have the right to convert each Note in full, including accrued but unpaid interest, at Nant Capital's sole discretion, at a conversion price of $0.37. F3: Includes the Tranche A Note of $2,850,000 principal amount as previously reported on the Form 3. F4: Note held by Nant Capital. Dr. Patrick Soon-Shiong owns all of the equity interests of Nant Capital and Dr. Soon-Shiong may be deemed to have beneficial ownership of the shares held by Nant Capital.

Filing footnotes · ownership attribution and instrument terms

F1: The holding includes the 8% Senior Convertible Tranche A Note issued on October 22, 2024 ("Tranche A Note") as previously reported on the Form 3 filed on October 29, 2024, and the 8% Senior Convertible Tranche B Note issued on November 15, 2024 (the "Tranche B Note"), in each case issued pursuant to that certain Note Purchase Agreement by and between the Issuer and Nant Capital, LLC ("Nant Capital") dated October 22, 2024 (the "Purchase Agreement"). The Tranche A Note and the Tranche B Note are reported as a single holding (the "Note"). Interest accrues on the unpaid principal amount at a rate equal to 8.0% plus the Monthly SOFR Rate (as defined in the Note), which shall be due and payable in full on April 22, 2025 (the "Maturity Date")

F2: Subject to an issuance limitation in the event of a voluntary conversion of the Note occurring prior to the Maturity Date that prohibits Nant Capital from converting the Note to the extent that after giving effect to the issuance of the Issuer's common stock after such conversion, Nant Capital (together with Nant Capital's affiliates, and any other person acting as a group together with Nant Capital or any of Nant Capital's affiliates) would beneficially own in excess of 33.33% of the shares of the Issuer's common stock outstanding. If the Note has not previously been repaid in full in cash or converted in full into shares of the Issuer's common stock on or before the Maturity Date, Nant Capital will have the right to convert each Note in full, including accrued but unpaid interest, at Nant Capital's sole discretion, at a conversion price of $0.37.

F3: Includes the Tranche A Note of $2,850,000 principal amount as previously reported on the Form 3.

F4: Note held by Nant Capital. Dr. Patrick Soon-Shiong owns all of the equity interests of Nant Capital and Dr. Soon-Shiong may be deemed to have beneficial ownership of the shares held by Nant Capital.

Tribune Publishing Co

Report date March 20, 2017 · Filed March 21, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	7,650,000	Reported balance After 2017-03-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2017-03-20 · Purchase · Acquired 2,950,000 · Balance 7,650,000 F1: The reported price reflects the weighted average purchase price per share for the transactions on March 20, 2017. The price per share consisted of $15.00 per share for 2,000,000 shares and $14.60 per share for 950,000 shares. F2: Shares held by NantCapital, LLC ("NantCapital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantCapital and CalCap may be deemed to have beneficial ownership of the shares held by NantCapital. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.
Common StockSEC Table I · non-derivative	Direct	1,093,619	Reported balance Holding disclosure · report date 2017-03-20 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,093,619

Filing footnotes · ownership attribution and instrument terms

F1: The reported price reflects the weighted average purchase price per share for the transactions on March 20, 2017. The price per share consisted of $15.00 per share for 2,000,000 shares and $14.60 per share for 950,000 shares.

F2: Shares held by NantCapital, LLC ("NantCapital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantCapital and CalCap may be deemed to have beneficial ownership of the shares held by NantCapital. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.

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
April 13, 2023 Filed Apr 17, 2023 17:18 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	7,077	$0.25	$1,769.25	Disclosure SEC source: 0000899243-23-011312 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,220,101 F1 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 12, 2023 Filed Apr 12, 2023 20:06 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	172,345	$0.25	$43,017.31	Disclosure SEC source: 0000899243-23-011223 · doc4.xml · nonDerivative · entry 3 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,213,024 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2469 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 11, 2023 Filed Apr 12, 2023 20:06 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	280,219	$0.25	$70,054.75	Disclosure SEC source: 0000899243-23-011223 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,040,679 F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 10, 2023 Filed Apr 12, 2023 20:06 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	88,086	$0.25	$21,968.65	Disclosure SEC source: 0000899243-23-011223 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,760,460 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2463 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 06, 2023 Filed Apr 10, 2023 21:21 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	641,027	$0.25	$159,102.90	Disclosure SEC source: 0000899243-23-011075 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,672,374 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2424 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 05, 2023 Filed Apr 10, 2023 21:21 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	385,024	$0.24	$94,176.87	Disclosure SEC source: 0000899243-23-011075 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,031,347 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2312 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
March 24, 2023 Filed Mar 27, 2023 18:55 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	907,677	$0.24	$216,662.50	Disclosure SEC source: 0000899243-23-009756 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,345,714 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2136 to $0.2500. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital for purposes of Section 13(d) of the Exchange Act. Read SEC document
March 23, 2023 Filed Mar 27, 2023 18:55 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	426,374	$0.21	$89,538.54	Disclosure SEC source: 0000899243-23-009756 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,438,037 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2079 to $0.2100. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital for purposes of Section 13(d) of the Exchange Act. Read SEC document
December 12, 2022 Filed Dec 14, 2022 21:23 UTC	ImmunityBio, Inc. IBRX · Entity 3618	ConversionSecond Amended and Restated Convertible Promissory Note · Derivative	Not disclosed	$0.00 Strike: $5.67	$56,625,841.51	Disclosure SEC source: 0001326110-22-000089 · wf-form4_167105301713045.xml · derivative · entry 8 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 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. F7 · security: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gave the lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under the note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. On December 12, 2022, the lender converted $56,625,841.51 in outstanding principal and accrued unpaid interest into 9,986,920 shares of the Issuer's common stock at a price of $5.67 per share. F8 · reported_value: Represents the entire outstanding principal amount and accrued and unpaid interest due as of December 12, 2022. F7 · underlyingValue: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gave the lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under the note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. On December 12, 2022, the lender converted $56,625,841.51 in outstanding principal and accrued unpaid interest into 9,986,920 shares of the Issuer's common stock at a price of $5.67 per share. F9 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by NantWorks. CalCap directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks. Read SEC document
December 12, 2022 Filed Dec 14, 2022 21:23 UTC	ImmunityBio, Inc. IBRX · Entity 3618	ConversionCommon Stock	9,986,920	$5.67	$56,625,836.40	Disclosure SEC source: 0001326110-22-000089 · wf-form4_167105301713045.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 9,986,920 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 · ownership.nature: Shares held by NantWorks, LLC ("NantWorks"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks. Read SEC document
August 31, 2022 Filed Nov 8, 2022 21:01 UTC	ImmunityBio, Inc. IBRX · Entity 3618	PurchaseSecond Amended and Restated Convertible Promissory Note · Derivative	Not disclosed	$40,016,261.00 Strike: $5.67	$40,016,261.00	Disclosure SEC source: 0001326110-22-000070 · wf-form4_166794126693201.xml · derivative · entry 6 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · security: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F1 · underlyingValue: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F6 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by NantCancerStemCell, LLC ("NantCancerStemCell"). NantBio, Inc. ("NantBio") is the majority stockholder and an affiliate of NantCancerStemCell and may be deemed to have beneficial ownership of the securities held by NantCancerStemCell. NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the securities held by NantBio and its affiliates. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantBio and its affiliates. Read SEC document
August 31, 2022 Filed Nov 8, 2022 21:01 UTC	ImmunityBio, Inc. IBRX · Entity 3618	PurchaseSecond Amended and Restated Convertible Promissory Note · Derivative	Not disclosed	$59,524,425.00 Strike: $5.67	$59,524,425.00	Disclosure SEC source: 0001326110-22-000070 · wf-form4_166794126693201.xml · derivative · entry 5 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · security: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F1 · underlyingValue: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F5 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by NantMobile, LLC ("NantMobile"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantMobile and may be deemed to have beneficial ownership of the securities held by NantMobile. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantMobile. Read SEC document
August 31, 2022 Filed Nov 8, 2022 21:01 UTC	ImmunityBio, Inc. IBRX · Entity 3618	PurchaseSecond Amended and Restated Convertible Promissory Note · Derivative	Not disclosed	$55,844,638.00 Strike: $5.67	$55,844,638.00	Disclosure SEC source: 0001326110-22-000070 · wf-form4_166794126693201.xml · derivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · security: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F1 · derivative.underlying_shares: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F4 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by NantWorks, LLC ("NantWorks"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks. Read SEC document
August 31, 2022 Filed Nov 8, 2022 21:01 UTC	ImmunityBio, Inc. IBRX · Entity 3618	PurchaseSecond Amended and Restated Convertible Promissory Note · Derivative	Not disclosed	$63,375,911.00 Strike: $5.67	$63,375,911.00	Disclosure SEC source: 0001326110-22-000070 · wf-form4_166794126693201.xml · derivative · entry 3 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · security: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F1 · underlyingValue: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F3 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by NantCapital, LLC, an investment vehicle of the reporting person. Read SEC document
August 31, 2022 Filed Nov 8, 2022 21:01 UTC	ImmunityBio, Inc. IBRX · Entity 3618	PurchaseAmended and Restated Convertible Promissory Note · Derivative	Not disclosed	$55,927,342.00 Strike: $5.67	$55,927,342.00	Disclosure SEC source: 0001326110-22-000070 · wf-form4_166794126693201.xml · derivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · security: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F1 · underlyingValue: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F2 · ownership.nature: Amended and Restated Convertible Promissory Note held by NantCapital, LLC, an investment vehicle of the reporting person. Read SEC document
August 31, 2022 Filed Nov 8, 2022 21:01 UTC	ImmunityBio, Inc. IBRX · Entity 3618	PurchaseAmended and Restated Convertible Promissory Note · Derivative	Not disclosed	$40,407,671.00 Strike: $5.67	$40,407,671.00	Disclosure SEC source: 0001326110-22-000070 · wf-form4_166794126693201.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · security: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F1 · underlyingValue: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. F2 · ownership.nature: Amended and Restated Convertible Promissory Note held by NantCapital, LLC, an investment vehicle of the reporting person. Read SEC document
March 23, 2022 Filed Mar 26, 2022 01:05 UTC	ImmunityBio, Inc. IBRX · Entity 3618	GrantStock Option (right to buy) · Derivative	350,000	$0.00 Strike: $5.83	$0.00	Disclosure SEC source: 0001326110-22-000020 · wf-form4_164825668605011.xml · derivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires 2032-03-23 F2 · derivative.exercise_date: Subject to the Issuer's attainment of a financial goal for fiscal year 2022, one-third (1/3rd) of the shares subject to the option shall vest in equal annual installments on each of the first, second and third anniversaries of the vesting commencement date, such that all shares shall be fully vested on the third anniversary of the vesting commencement date, subject to the reporting person's continuing to be a Service Provider (as defined in the Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date. The vesting commencement date for this option is March 23, 2022. Read SEC document
March 23, 2022 Filed Mar 26, 2022 01:05 UTC	ImmunityBio, Inc. IBRX · Entity 3618	GrantStock Option (right to buy) · Derivative	350,000	$0.00 Strike: $5.83	$0.00	Disclosure SEC source: 0001326110-22-000020 · wf-form4_164825668605011.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires 2032-03-23 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, one-third (1/3rd) of the shares subject to the option shall vest in equal annual installments on each of the first, second and third anniversaries of the vesting commencement date, such that all shares shall be fully vested on the third anniversary of the vesting commencement date. The vesting commencement date for this option is March 23, 2022. Read SEC document
December 30, 2021 Filed Jul 5, 2022 16:47 UTC	Heliogen, Inc. HLGN · Entity 78373	GrantCommon Stock	1,011,663	$0.00	$0.00	Disclosure SEC source: 0000899243-22-025001 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,011,663 F1 · shares: Received on December 30, 2021 pursuant to that certain Business Combination Agreement, dated as of July 6, 2021, by and among Athena Technology Acquisition Corp., a Delaware corporation ("Athena"), HelioMax Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Athena, and Heliogen, Inc., a Delaware corporation ("Legacy Heliogen"), in exchange for Legacy Heliogen shares. F3 · shares: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital for purposes of Section 13(d) of the Exchange Act. Read SEC document
December 30, 2021 Filed Jul 5, 2022 16:47 UTC	Heliogen, Inc. HLGN · Entity 78373	GrantCommon Stock	24,646,323	$0.00	$0.00	Disclosure SEC source: 0000899243-22-025001 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,646,323 F1 · shares: Received on December 30, 2021 pursuant to that certain Business Combination Agreement, dated as of July 6, 2021, by and among Athena Technology Acquisition Corp., a Delaware corporation ("Athena"), HelioMax Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Athena, and Heliogen, Inc., a Delaware corporation ("Legacy Heliogen"), in exchange for Legacy Heliogen shares. F2 · shares: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
September 09, 2021 Filed Sep 13, 2021 20:19 UTC	NantHealth, Inc. NH · Entity 109592	GrantStock Option (right to buy) · Derivative	1,000,000	$0.00 Strike: $1.96	$0.00	Disclosure SEC source: 0000899243-21-035741 · doc4.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2031-09-09 F1 · derivative.exercise_date: Subject to the reporting person continuing as a service provider, the shares subject to the option shall vest as follows, fifty percent (50%) of the shares subject to the option shall vest on the one (1) year anniversary from the date of grant, and twenty-five percent (25%) of the remaining shares subject to the option shall vest annually thereafter, so that the option is fully vested on the three (3) year anniversary date. Read SEC document
June 10, 2021 Filed Jun 14, 2021 22:38 UTC	ImmunityBio, Inc. IBRX · Entity 3618	GrantStock Option (right to buy) · Derivative	26,064	$0.00 Strike: $14.91	$0.00	Disclosure SEC source: 0001209191-21-040356 · doc4.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,064 Underlying: Common Stock · 26,064 shares Expires 2031-06-10 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2022 or the date immediately preceding the 2022 annual meeting of stockholders. Read SEC document
April 27, 2021 Filed Apr 28, 2021 18:54 UTC	NantHealth, Inc. NH · Entity 109592	Purchase4.50% Convertible Senior Notes due 2026 · Derivative	62,500,000	$62,500,000.00	$3,906,250,000,000,000.00	Disclosure SEC source: 0000899243-21-017244 · doc4.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 16,242,206 shares Expires 2026-04-27 F1 · derivative.exercise_price: The initial conversion rate of the 4.50% Convertible Senior Notes due 2026 (the "Notes") is 259.8753 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $3.85 per share), subject to adjustment pursuant to the terms of the Notes. F2 · derivative.exercise_date: The Notes will be convertible at the option of the reporting persons at any time prior to the close of business on the business day immediately preceding the maturity date of the Notes. The Notes will be convertible into cash, shares of the issuer's common stock, or a combination thereof, at the issuer's election F1 · derivative.underlying_shares: The initial conversion rate of the 4.50% Convertible Senior Notes due 2026 (the "Notes") is 259.8753 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $3.85 per share), subject to adjustment pursuant to the terms of the Notes. F3 · ownership.nature: The Notes are held by Nant Capital LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital, LLC and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document
April 13, 2021 Filed Apr 15, 2021 18:04 UTC	NantHealth, Inc. NH · Entity 109592	Other5.50% Convertible Senior Notes due 2021 · Derivative	5,000,000	$5,000,000.00	$25,000,000,000,000.00	Disclosure SEC source: 0000899243-21-015976 · doc4.xml · derivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,000,000 Underlying: Common Stock · 411,946 shares Expires 2021-12-15 F4 · derivative.exercise_price: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F5 · kind: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I. F5 · shares: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I. F6 · derivative.exercise_date: The Notes will be convertible at the option of the reporting persons only upon the satisfaction of certain conditions prior to the close of business on the business day immediately preceding September 15, 2021. Thereafter, the Notes will be convertible at the option of the reporting persons at any time or after September 15, 2021 until the close of business on the business day immediately preceding the maturity date. The Notes will be convertible into cash, shares of the issuer's common stock, or a combination thereof, at the issuer's election. F4 · derivative.underlying_shares: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F7 · ownership.nature: The Notes are held by Cambridge Equities, an entity affiliated with MP 13 Ventures, LLC who is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the convertible notes held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the convertible notes held by Cambridge Equities. Read SEC document
April 13, 2021 Filed Apr 15, 2021 18:04 UTC	NantHealth, Inc. NH · Entity 109592	PurchaseCommon Stock	1,689,189	$2.96	$4,999,999.44	Disclosure SEC source: 0000899243-21-015976 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,689,189 F1 · ownership.nature: Shares are held by Cambridge Equities, LP ("Cambridge Equities"), an entity affiliated with MP 13 Ventures, LLC ("MP 13 Ventures") who is the general partner of Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document
March 09, 2021 Filed Mar 12, 2021 02:30 UTC	ImmunityBio, Inc. IBRX · Entity 3618	OtherCommon Stock	7,976,159	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnte Disclosed balance after: 7,976,159 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. F4 · ownership.nature: Shares held by California Capital Equity, LLC ("CalCap"). The reporting person owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document
March 09, 2021 Filed Mar 12, 2021 02:30 UTC	ImmunityBio, Inc. IBRX · Entity 3618	OtherCommon Stock	8,383,414	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 3 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,383,414 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. F3 · ownership.nature: Shares held by NantBio, Inc. ("NantBio"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the shares held by NantBio. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the shares held by NantBio. Read SEC document
March 09, 2021 Filed Mar 12, 2021 02:30 UTC	ImmunityBio, Inc. IBRX · Entity 3618	OtherCommon Stock	221,130,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 261,705,814 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. F2 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document
March 09, 2021 Filed Mar 12, 2021 02:30 UTC	ImmunityBio, Inc. IBRX · Entity 3618	OtherCommon Stock	5,723,182	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,473,932 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. Read SEC document
June 29, 2020 Filed Jun 29, 2020 23:36 UTC	ImmunityBio, Inc. NK · Entity 3618	PurchaseCommon Stock	3,710,000	$12.12	$44,965,200.00	Disclosure SEC source: 0001209191-20-039238 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,750,750 Read SEC document
November 06, 2019 Filed Nov 8, 2019 09:00 UTC	NantHealth, Inc. NH · Entity 109592	GiftCommon Stock	5,000,000	$0.00	$0.00	Disclosure SEC source: 0000899243-19-026921 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 62,214,114 F1 · kind: Shares transferred for no value by NantWorks, LLC ("NantWorks") to (i) MIMI TRUST I OF DE 2009; (ii) STEVE TRUST I OF DE 2009; (iii) MIMI TRUST II OF DE 2009; and (iv) STEVE TRUST II OF DE 2009 (each a "Grantee"). Each Grantee received a total of 1,250,000 shares. F2 · ownership.nature: Shares held by NantWorks. California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the shares held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document
March 21, 2019 Filed Mar 22, 2019 01:06 UTC	ImmunityBio, Inc. NK · Entity 3618	Exercise / conversionStock Option (right to buy) · Derivative	1,851,500	$0.00 Strike: $2.20	$0.00	Disclosure SEC source: 0001209191-19-020891 · doc4.xml · derivative · entry 6 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,851,500 shares Expires 2019-03-24 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. F5 · derivative.exercise_date: Subject to the reporting person's continuing service, one forty-eighth (1/48th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is March 24, 2015. The shares subject to the option shall fully vest and become exercisable upon a change in control, as defined in the reporting person's employment agreement. If the reporting person's employment is terminated without "cause" or if the reporting person resigns for "good reason" (as such terms are defined in the reporting person's employment agreement), the shares subject to the option shall fully vest and become exercisable. Read SEC document
March 21, 2019 Filed Mar 22, 2019 01:06 UTC	ImmunityBio, Inc. NK · Entity 3618	OtherWarrant (right to buy) · Derivative	17,589,250	$0.00 Strike: $2.00	$0.00	Disclosure SEC source: 0001209191-19-020891 · doc4.xml · derivative · entry 5 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,589,250 shares Expires 2019-03-24 F4 · derivative.exercise_date: 185,150 of the shares subject to the warrant vested and became exercisable monthly for forty (40) months beginning April 1, 2015. The remaining 10,183,250 shares subject to the warrant vested and became exercisable upon the completion of certain milestones as defined in the warrant. Read SEC document
March 21, 2019 Filed Mar 22, 2019 01:06 UTC	ImmunityBio, Inc. NK · Entity 3618	Exercise / conversionCommon Stock	1,851,500	$2.20	$4,070,152.45	Disclosure SEC source: 0001209191-19-020891 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,040,750 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
March 21, 2019 Filed Mar 22, 2019 01:06 UTC	ImmunityBio, Inc. NK · Entity 3618	OtherCommon Stock	17,589,250	$2.00	$35,150,357.20	Disclosure SEC source: 0001209191-19-020891 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,189,250 Read SEC document
July 11, 2018 Filed Jul 13, 2018 23:26 UTC	ImmunityBio, Inc. NK · Entity 3618	Exercise / conversionWarrant (right to buy) · Derivative	9,257	$0.00 Strike: $1.62	$0.00	Disclosure SEC source: 0001209191-18-042582 · doc4.xml · derivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 9,257 shares Expires 2018-07-27 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: Warrant was exercisable on the original date of issuance. F4 · ownership.nature: Warrant held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities. Read SEC document
July 11, 2018 Filed Jul 13, 2018 23:26 UTC	ImmunityBio, Inc. NK · Entity 3618	Exercise / conversionCommon Stock	9,257	$1.62	$15,000.04	Disclosure SEC source: 0001209191-18-042582 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40,565,814 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 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document
March 20, 2017 Filed Mar 21, 2017 16:21 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	2,950,000	$14.87	$43,870,040.00	Disclosure SEC source: 0000899243-17-008297 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,650,000 F1 · price: The reported price reflects the weighted average purchase price per share for the transactions on March 20, 2017. The price per share consisted of $15.00 per share for 2,000,000 shares and $14.60 per share for 950,000 shares. F2 · ownership.nature: Shares held by NantCapital, LLC ("NantCapital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantCapital and CalCap may be deemed to have beneficial ownership of the shares held by NantCapital. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document
February 17, 2017 Filed Feb 21, 2017 18:44 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	7,217	$13.91	$100,388.47	Disclosure SEC source: 0000899243-17-004805 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,093,619 F2 · price: The reported price reflects the weighted average purchase price per share for the transactions on February 17, 2017. The price per share for such transactions ranged from $13.87 to $13.95. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
February 16, 2017 Filed Feb 21, 2017 18:44 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	6,920	$13.92	$96,326.40	Disclosure SEC source: 0000899243-17-004805 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,086,402 F1 · price: The reported price reflects the weighted average purchase price per share for the transactions on February 16, 2017. The price per share for such transactions ranged from $13.85 to $13.95. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
December 30, 2016 Filed Jan 4, 2017 22:11 UTC	ImmunityBio, Inc. NK · Entity 3618	GiftCommon Stock	450,000	$0.00	$0.00	Disclosure SEC source: 0001209191-17-001159 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40,556,557 F1 · kind: Shares transferred for no value by Cambridge Equities, LP to the Chan Soon-Shiong NantHealth Foundation, a 501(c)(3) non-profit Delaware corporation. F2 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document
December 21, 2016 Filed Dec 23, 2016 17:00 UTC	NantHealth, Inc. NH · Entity 109592	Purchase5.50% Convertible Senior Notes due 2021 · Derivative	10,000,000	$10,000,000.00	$100,000,000,000,000.00	Disclosure SEC source: 0000899243-16-036294 · doc4.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 823,893 shares Expires 2021-12-15 F1 · derivative.exercise_price: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F2 · derivative.exercise_date: The Notes will be convertible at the option of the reporting persons only upon the satisfaction of certain conditions prior to the close of business on the business day immediately preceding September 15, 2021. Thereafter, the Notes will be convertible at the option of the reporting persons at any time or after September 15, 2021 until the close of business on the business day immediately preceding the maturity date. The Notes will be convertible into cash, shares of the issuer's common stock, or a combination thereof, at the issuer's election. F1 · derivative.underlying_shares: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F3 · ownership.nature: The Notes are held by Cambridge Equities, LP ("Cambridge Equities"), an entity affiliated with . MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the option held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the option held by Cambridge Equities. Read SEC document
December 08, 2016 Filed Dec 12, 2016 18:23 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	200	$13.49	$2,698.00	Disclosure SEC source: 0000899243-16-035324 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,482 F1 · price: The reported price reflects the weighted average purchase price per share for the transactions on December 8, 2016. The price per share for such transactions ranged from $13.48 to $13.50. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
December 07, 2016 Filed Dec 8, 2016 18:38 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	19,263	$13.47	$259,472.61	Disclosure SEC source: 0000899243-16-035164 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,282 F2 · price: The reported price reflects the weighted average purchase price per share for the transactions on December 7, 2016. The price per share for such transactions ranged from $13.38 to $13.50. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
December 06, 2016 Filed Dec 8, 2016 18:38 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	27,351	$13.37	$365,682.87	Disclosure SEC source: 0000899243-16-035164 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,060,019 F1 · price: The reported price reflects the weighted average purchase price per share for the transactions on December 6, 2016. The price per share for such transactions ranged from $13.18 to $13.45. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
December 05, 2016 Filed Dec 6, 2016 18:22 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	6,151	$13.16	$80,947.16	Disclosure SEC source: 0000899243-16-035001 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,032,668 F2 · price: The reported price reflects the weighted average purchase price per share for the transactions on December 5, 2016. The price per share for such transactions ranged from $13.11 to $13.20. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
December 02, 2016 Filed Dec 6, 2016 18:22 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	27,754	$12.97	$359,969.38	Disclosure SEC source: 0000899243-16-035001 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,026,517 F1 · price: The reported price reflects the weighted average purchase price per share for the transactions on December 2, 2016. The price per share for such transactions ranged from $12.85 to $13.05. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
December 01, 2016 Filed Dec 1, 2016 20:44 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	29,379	$12.77	$375,169.83	Disclosure SEC source: 0000899243-16-034753 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 998,763 F2 · price: The reported price reflects the weighted average purchase price per share for the transactions on December 1, 2016. The price per share for such transactions ranged from $12.61 to $13.05. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
November 29, 2016 Filed Dec 1, 2016 20:44 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	35,643	$12.92	$460,507.56	Disclosure SEC source: 0000899243-16-034753 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 969,384 F1 · price: The reported price reflects the weighted average purchase price per share for the transactions on November 29, 2016. The price per share for such transactions ranged from $12.76 to $13.00. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. Read SEC document
November 23, 2016 Filed Nov 28, 2016 18:13 UTC	Tribune Publishing Co TRNC · Entity 138878	PurchaseCommon Stock	33,075	$12.94	$427,990.50	Disclosure SEC source: 0000899243-16-034451 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 933,741 F2 · price: The reported price reflects the weighted average purchase price per share for the transactions on November 28, 2016. The price per share for such transactions ranged from $12.83 to $13.00. Full information regarding the number of shares sold at each separate price will be provided to the United States Securities and Exchange Commission, the Issuer or a security holder of the Issuer upon a request for such information. 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.