organization · Reporting owner
CALIFORNIA CAPITAL EQUITY, LLC
Disclosed activity across 4 companies
Sign in to followReported 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 | September 01, 2023 | September 06, 2023 |
| ImmunityBio, Inc.IBRX · Entity 3618 | 10% owner | March 31, 2026 | April 03, 2026 |
| NantHealth, Inc.NH · Entity 109592 | 10% owner | August 28, 2023 | August 30, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Benitec Biopharma Inc.
Report date April 15, 2020 · Filed April 27, 2020
Jointly reported with Nant Capital, LLC, SOON-SHIONG PATRICK
| 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 rowRow 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 rowRow 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 September 01, 2023 · Filed September 06, 2023
Jointly reported with Nant Capital, LLC, SOON-SHIONG PATRICK
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 946,275 |
Reported balance
After 2023-09-01 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2023-09-01 · Purchase · Acquired 7,360 · Balance 946,275 F1: This transaction was executed in multiple trades at prices ranging from $6.18 to $7.00. 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: On August 31, 2023, the issuer effected a 1-for-35 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. F3: 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. |
| Common StockSEC Table I · non-derivative | Direct | 67,020 |
Reported balance
Holding disclosure · report date 2023-09-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 67,020 F2: On August 31, 2023, the issuer effected a 1-for-35 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. F4: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $6.18 to $7.00. 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: On August 31, 2023, the issuer effected a 1-for-35 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.
F3: 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.
F4: 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.
ImmunityBio, Inc.
Report date March 31, 2026 · Filed April 03, 2026
Jointly reported with SOON-SHIONG PATRICK, 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 SOON-SHIONG PATRICK, 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 rowRow 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 rowRow 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 rowRow 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 31, 2026 Filed Apr 3, 2026 00:08 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | ConversionSecond Amended and Restated Convertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5.43 | $25,000,000.00 |
DisclosureSEC source: 0001189020-26-000008 · wk-form4_1775174919.xml · derivative · entry 10 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2027-12-31 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. F9 · kind: 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. F9 · underlyingValue: 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 · ownership.nature: Shares held by Nant Capital, LLC, an investment vehicle of the Reporting Person. Read SEC document |
| March 31, 2026 Filed Apr 3, 2026 00:08 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | ConversionCommon Stock | 4,606,596 | $5.43 | $24,999,996.49 |
DisclosureSEC source: 0001189020-26-000008 · wk-form4_1775174919.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 251,018,873 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 Nant Capital, LLC, an investment vehicle of the Reporting Person. Read SEC document |
| February 22, 2026 Filed Feb 25, 2026 01:05 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Exercise / conversionRestricted Stock Units · Derivative | 114,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001189020-26-000006 · wk-form4_1771981503.xml · derivative · entry 11 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 114,329 Underlying: Common Stock · 114,329 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. (the "Issuer") common stock. F11 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Issuer's Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 33.33% of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 33.34% of the shares subject to the RSU award shall vest on the third anniversary 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 RSU award is February 22, 2024. F11 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Issuer's Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 33.33% of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 33.34% of the shares subject to the RSU award shall vest on the third anniversary 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 RSU award is February 22, 2024. Read SEC document |
| February 22, 2026 Filed Feb 25, 2026 01:05 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Tax withholdingCommon Stock | 58,170 | $8.70 | $506,079.00 |
DisclosureSEC source: 0001189020-26-000006 · wk-form4_1771981503.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 29,757,911 F2 · price: On February 22, 2026, the Reporting Person's RSUs vested. The closing price of Immunity Bio, Inc.'s common stock on February 20, 2026 was the settlement price used to calculate the shares withheld. Read SEC document |
| February 22, 2026 Filed Feb 25, 2026 01:05 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Exercise / conversionCommon Stock | 114,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001189020-26-000006 · wk-form4_1771981503.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 29,816,081 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 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. (the "Issuer") common stock. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 02:29 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Exercise / conversionRestricted Stock Units · Derivative | 274,122 | $0.00 | $0.00 |
DisclosureSEC source: 0001189020-26-000003 · wk-form4_1770949759.xml · derivative · entry 11 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 548,246 Underlying: Common Stock · 274,122 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. (the "Issuer") common stock. F11 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Issuer's Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 33.33% of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 33.34% of the shares subject to the RSU award shall vest on the third anniversary 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 RSU award is February 10, 2025. F11 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Issuer's Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 33.33% of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 33.34% of the shares subject to the RSU award shall vest on the third anniversary 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 RSU award is February 10, 2025. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 02:29 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Tax withholdingCommon Stock | 118,560 | $6.93 | $821,620.80 |
DisclosureSEC source: 0001189020-26-000003 · wk-form4_1770949759.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 29,701,752 F2 · price: On February 10, 2026, the reporting person's RSUs vested. The closing price of the Issuer's common stock on February 9, 2026 was the settlement price used to calculate the shares withheld. Read SEC document |
| February 10, 2026 Filed Feb 13, 2026 02:29 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Exercise / conversionCommon Stock | 274,122 | $0.00 | $0.00 |
DisclosureSEC source: 0001189020-26-000003 · wk-form4_1770949759.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 29,820,312 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 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. (the "Issuer") common stock. Read SEC document |
| February 22, 2025 Filed Feb 26, 2025 02:11 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Exercise / conversionRestricted Stock Units · Derivative | 114,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001326110-25-000023 · wk-form4_1740535889.xml · derivative · entry 11 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 228,658 Underlying: Common Stock · 114,329 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. (the "Issuer") common stock. F11 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Issuer's Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 33.33% of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 33.34% of the shares subject to the RSU award shall vest on the third anniversary 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 RSU award is February 22, 2024. F11 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Issuer's Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 33.33% of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 33.34% of the shares subject to the RSU award shall vest on the third anniversary 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 RSU award is February 22, 2024. Read SEC document |
| February 22, 2025 Filed Feb 26, 2025 02:11 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Tax withholdingCommon Stock | 42,071 | $3.42 | $143,882.82 |
DisclosureSEC source: 0001326110-25-000023 · wk-form4_1740535889.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 29,546,190 F2 · price: On February 22, 2025, the Reporting Person's RSUs vested. The closing price of Immunity Bio, Inc.'s common stock on February 21, 2025 was the settlement price used to calculate the shares withheld. Read SEC document |
| February 22, 2025 Filed Feb 26, 2025 02:11 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | Exercise / conversionCommon Stock | 114,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001326110-25-000023 · wk-form4_1740535889.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 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: 29,588,261 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 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. (the "Issuer") common stock. Read SEC document |
| December 10, 2024 Filed Dec 13, 2024 02:20 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherSecond Amended and Restated Convertible Promissory Note · Derivative | Not disclosed | $505,000,000.00 Strike: $5.43 | $505,000,000.00 |
DisclosureSEC source: 0001326110-24-000117 · wk-form4_1734056418.xml · derivative · entry 14 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2027-12-31 F13 · kind: On December 10, 2024, Nant Capital and the Issuer entered into a Second Amended and Restated Promissory Note pursuant to which the Issuer and Nant Capital agreed to consolidate remaining outstanding notes held by Nant Capital into one consolidated $505.0 million note (the "Consolidated Note" and such transaction, the "Debt Restructuring"). The principal amount of the Consolidated Note shall be convertible in full (and not partially) at Nant Capital's option, at a price per share equal to $5.427 (subject to appropriate adjustment from time to time for any stock dividend, stock split, combination of shares, reorganization, recapitalization, reclassification or other similar event). F13 · underlyingValue: On December 10, 2024, Nant Capital and the Issuer entered into a Second Amended and Restated Promissory Note pursuant to which the Issuer and Nant Capital agreed to consolidate remaining outstanding notes held by Nant Capital into one consolidated $505.0 million note (the "Consolidated Note" and such transaction, the "Debt Restructuring"). The principal amount of the Consolidated Note shall be convertible in full (and not partially) at Nant Capital's option, at a price per share equal to $5.427 (subject to appropriate adjustment from time to time for any stock dividend, stock split, combination of shares, reorganization, recapitalization, reclassification or other similar event). F15 · ownership.nature: The Consolidated Note held by Nant Capital. Read SEC document |
| December 10, 2024 Filed Dec 13, 2024 02:20 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherAmended and Restated Promissory Note · Derivative | Not disclosed | $0.00 Strike: $8.27 | $380,000,000.00 |
DisclosureSEC source: 0001326110-24-000117 · wk-form4_1734056418.xml · derivative · entry 13 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-12-31 F13 · kind: On December 10, 2024, Nant Capital and the Issuer entered into a Second Amended and Restated Promissory Note pursuant to which the Issuer and Nant Capital agreed to consolidate remaining outstanding notes held by Nant Capital into one consolidated $505.0 million note (the "Consolidated Note" and such transaction, the "Debt Restructuring"). The principal amount of the Consolidated Note shall be convertible in full (and not partially) at Nant Capital's option, at a price per share equal to $5.427 (subject to appropriate adjustment from time to time for any stock dividend, stock split, combination of shares, reorganization, recapitalization, reclassification or other similar event). F14 · ownership.nature: Amended and Restated Convertible Promissory Note held by Nant Capital. Read SEC document |
| December 10, 2024 Filed Dec 13, 2024 02:20 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | ConversionConvertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $2.28 | $30,000,000.00 |
DisclosureSEC source: 0001326110-24-000117 · wk-form4_1734056418.xml · derivative · entry 12 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 13,475,172 shares Expires 2025-12-31 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. F12 · kind: Nant Capital has the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under such Convertible Promissory Note at the time of conversion into shares of the Issuer's common stock at a price of $2.28 per share. On December 10, 2024, Nant Capital delivered notice to the Issuer that they elected to convert the outstanding principal and all accrued and unpaid interest in the amount of $30,723,395.57 into 13,475,172 shares if the Issuer's common stock. F12 · derivative.underlying_shares: Nant Capital has the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under such Convertible Promissory Note at the time of conversion into shares of the Issuer's common stock at a price of $2.28 per share. On December 10, 2024, Nant Capital delivered notice to the Issuer that they elected to convert the outstanding principal and all accrued and unpaid interest in the amount of $30,723,395.57 into 13,475,172 shares if the Issuer's common stock. F11 · ownership.nature: Convertible Promissory Note held by Nant Capital. Read SEC document |
| December 10, 2024 Filed Dec 13, 2024 02:20 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | ConversionConvertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $1.94 | $200,000,000.00 |
DisclosureSEC source: 0001326110-24-000117 · wk-form4_1734056418.xml · derivative · entry 11 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 103,710,088 shares Expires 2026-09-11 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. F9 · kind: Nant Capital has the right at any time after the Conversion Date (as defined in the Convertible Promissory Note (the "Note")) and on or before September 11, 2026 to convert all (but not less than all) of the outstanding principal amount of this Note and all (but not less than all) accrued and unpaid interest on this Note into fully paid and nonassessable shares of the Issuer's common stock at a price per share equal to $1.935. On December 10, 2024, Nant Capital delivered notice to the Issuer that they elected to convert the outstanding principal and all accrued and unpaid interest in the amount of $200,679,022.30 into 103,710,088 shares if the Issuer's common stock. F10 · derivative.exercise_date: That date upon which an amendment to the Issuers Certificate of Incorporation, as amended, becomes effective pursuant to which the number of authorized shares of the Issuer's common stock is increased from 900,000,000 to 1,350,000,000. F9 · derivative.underlying_shares: Nant Capital has the right at any time after the Conversion Date (as defined in the Convertible Promissory Note (the "Note")) and on or before September 11, 2026 to convert all (but not less than all) of the outstanding principal amount of this Note and all (but not less than all) accrued and unpaid interest on this Note into fully paid and nonassessable shares of the Issuer's common stock at a price per share equal to $1.935. On December 10, 2024, Nant Capital delivered notice to the Issuer that they elected to convert the outstanding principal and all accrued and unpaid interest in the amount of $200,679,022.30 into 103,710,088 shares if the Issuer's common stock. F11 · ownership.nature: Convertible Promissory Note held by Nant Capital. Read SEC document |
| December 10, 2024 Filed Dec 13, 2024 02:20 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | ConversionCommon Stock | 13,475,172 | $2.28 | $30,723,392.16 |
DisclosureSEC source: 0001326110-24-000117 · wk-form4_1734056418.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 246,412,277 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 Nant Capital, LLC, an investment vehicle of the reporting person ("Nant Capital"). Read SEC document |
| December 10, 2024 Filed Dec 13, 2024 02:20 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | ConversionCommon Stock | 103,710,088 | $1.94 | $200,679,020.28 |
DisclosureSEC source: 0001326110-24-000117 · wk-form4_1734056418.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 232,937,105 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 Nant Capital, LLC, an investment vehicle of the reporting person ("Nant Capital"). Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | PurchaseConvertible Promissory Note · Derivative | Not disclosed | $200,000,000.00 Strike: $1.94 | $200,000,000.00 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · derivative · entry 15 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2026-09-11 F15 · derivative.exercise_date: That date upon which an amendment to the Issuers Certificate of Incorporation, as amended, becomes effective pursuant to which the number of authorized shares of the Issuer's common stock is increased from 900,000,000 to 1,350,000,000. F16 · derivative.underlying_shares: Reporting person has the right at any time after the Conversion Date and on or before September 11, 2026 to convert all (but not less than all) of the outstanding principal amount of this Convertible Promissory Note (the "Note") and all (but not less than all) accrued and unpaid interest on this Note into fully paid and nonassessable shares of the Issuer's common stock at a price per share equal to $1.935. F17 · ownership.nature: Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person. Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherSecond Amended and Restated Convertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5.67 | $42,063,011.00 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · derivative · entry 14 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F10 · reported_value: Represents the entire outstanding principal amount and accrued and unpaid interest due as of September 8, 2023. F1 · derivative.underlying_shares: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F14 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by NCSC. NantBio is the sole stockholder and an affiliate of NCSC and may be deemed to have beneficial ownership of the securities held by NCSC. 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 |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherSecond Amended and Restated Convertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5.67 | $61,349,735.00 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · derivative · entry 13 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F10 · reported_value: Represents the entire outstanding principal amount and accrued and unpaid interest due as of September 8, 2023. F1 · derivative.underlying_shares: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F13 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by 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. Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherSecond Amended and Restated Convertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5.67 | $66,756,715.00 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · derivative · entry 12 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F10 · reported_value: Represents the entire outstanding principal amount and accrued and unpaid interest due as of September 8, 2023. F1 · derivative.underlying_shares: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F12 · ownership.nature: Second Amended and Restated Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person. Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherAmended and Restated Convertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5.67 | $59,356,865.00 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · derivative · entry 11 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F10 · reported_value: Represents the entire outstanding principal amount and accrued and unpaid interest due as of September 8, 2023. F1 · derivative.underlying_shares: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F11 · ownership.nature: Amended and Restated Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person. Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherAmended and Restated Convertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5.67 | $40,460,274.00 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · derivative · entry 10 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2025-09-30 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F10 · reported_value: Represents the entire outstanding principal amount and accrued and unpaid interest due as of September 8, 2023. F1 · derivative.underlying_shares: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F11 · ownership.nature: Amended and Restated Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person. Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherCommon Stock | 32,606,985 | $1.29 | $42,063,010.65 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · nonDerivative · entry 3 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 32,606,985 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F4 · ownership.nature: Shares held by NCSC. NantBio, Inc. ("NantBio") is the sole stockholder and an affiliate of NCSC and may be deemed to have beneficial ownership of the securities held by NCSC. 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 |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherCommon Stock | 47,557,934 | $1.29 | $61,349,734.86 |
DisclosureSEC source: 0000950170-23-048020 · ownership.xml · nonDerivative · entry 2 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 47,557,934 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F3 · ownership.nature: Shares held by 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 |
| September 11, 2023 Filed Sep 14, 2023 01:07 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherCommon Stock | 129,127,017 | $1.29 | $166,573,851.93 |
DisclosureSEC source: 0000950170-23-048020 · ownership.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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 129,227,017 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F2 · ownership.nature: Shares held by Nant Capital, an investment vehicle of the reporting person. Read SEC document |
| September 01, 2023 Filed Sep 6, 2023 21:12 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 7,360 | $6.49 | $47,791.42 |
DisclosureSEC source: 0000899243-23-018664 · 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: 946,275 F1 · price: This transaction was executed in multiple trades at prices ranging from $6.18 to $7.00. 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 · balance_after: On August 31, 2023, the issuer effected a 1-for-35 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. F3 · 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 |
| August 28, 2023 Filed Aug 30, 2023 17:26 UTC | NantHealth, Inc. NH · Entity 109592 | PurchaseCommon Stock | 537,272 | $18.61 | $9,999,975.10 |
DisclosureSEC source: 0000950170-23-045521 · ownership.xml · nonDerivative · entry 2 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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 15,921,888 F1 · shares: 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 · price: $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 · ownership.nature: 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. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 17:26 UTC | NantHealth, Inc. NH · Entity 109592 | PurchaseCommon Stock | 15,384,616 | $0.39 | $6,000,000.24 |
DisclosureSEC source: 0000950170-23-045521 · ownership.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 Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 15,384,616 F1 · shares: 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 · ownership.nature: 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. Read SEC document |
| June 22, 2023 Filed Jun 26, 2023 21:51 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 634,251 | $0.23 | $146,068.01 |
DisclosureSEC source: 0000899243-23-016529 · 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: 32,862,027 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.23 to $0.24. 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 |
| June 21, 2023 Filed Jun 21, 2023 18:16 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 263,695 | $0.23 | $61,862.85 |
DisclosureSEC source: 0000899243-23-016170 · 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: 32,227,776 F4 · price: This transaction was executed in multiple trades at prices ranging from $0.2304 to $0.2350. 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 |
| June 20, 2023 Filed Jun 21, 2023 18:16 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 62,916 | $0.23 | $14,722.34 |
DisclosureSEC source: 0000899243-23-016170 · 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: 31,964,081 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2327 to $0.2350. 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 |
| June 16, 2023 Filed Jun 21, 2023 18:16 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 40,048 | $0.22 | $8,802.55 |
DisclosureSEC source: 0000899243-23-016170 · 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: 31,901,165 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2161 to $0.2200. 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 |
| June 15, 2023 Filed Jun 15, 2023 19:31 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 387,612 | $0.21 | $81,243.48 |
DisclosureSEC source: 0000899243-23-015652 · 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: 31,861,117 F4 · price: This transaction was executed in multiple trades at prices ranging from $0.2085 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 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 |
| June 14, 2023 Filed Jun 15, 2023 19:31 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 279,752 | $0.21 | $58,747.92 |
DisclosureSEC source: 0000899243-23-015652 · 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: 31,473,505 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2090 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 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 |
| June 13, 2023 Filed Jun 15, 2023 19:31 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 1,058,542 | $0.20 | $210,649.86 |
DisclosureSEC source: 0000899243-23-015652 · 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: 31,193,753 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.1912 to $0.2000. 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 |
| June 09, 2023 Filed Jun 9, 2023 19:45 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 768,835 | $0.23 | $176,755.17 |
DisclosureSEC source: 0000899243-23-015295 · 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: 30,135,211 F4 · price: This transaction was executed in multiple trades at prices ranging from $0.2298 to $0.23. 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 |
| June 08, 2023 Filed Jun 9, 2023 19:45 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 1,966,263 | $0.22 | $430,218.34 |
DisclosureSEC source: 0000899243-23-015295 · 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: 29,366,376 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.214 to $0.23. 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 |
| June 07, 2023 Filed Jun 9, 2023 19:45 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 1,000,000 | $0.25 | $245,200.00 |
DisclosureSEC source: 0000899243-23-015295 · 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: 27,400,113 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2437 to $0.2485. 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 |
| June 02, 2023 Filed Jun 5, 2023 19:21 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 158,355 | $0.24 | $38,749.47 |
DisclosureSEC source: 0000899243-23-014517 · 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: 26,400,113 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2328 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 |
| June 01, 2023 Filed Jun 5, 2023 19:21 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 21,657 | $0.25 | $5,409.92 |
DisclosureSEC source: 0000899243-23-014517 · 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: 26,241,758 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2472 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 13, 2023 Filed Apr 17, 2023 17:18 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 7,077 | $0.25 | $1,769.25 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.