organization · Reporting owner

CALIFORNIA CAPITAL EQUITY, LLC

Disclosed activity across 4 companies

Tapewire entity: 54235
SEC CIK: 0001517764

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Benitec Biopharma Inc.BNTC · Entity 5596	10% owner	April 15, 2020	April 27, 2020
Heliogen, Inc.HLGN · Entity 78373	10% owner	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 row Row 1 · Balance 195,372
Common StockSEC Table I · non-derivative	Direct	97,686	Reported balance Holding disclosure · report date 2020-04-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 97,686 F1: These shares are held by Merrill Lynch (Australia) Nominees Pty Limited for the account for the account of the Reporting Person.

Filing footnotes · ownership attribution and instrument terms

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

Heliogen, Inc.

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

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

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

NantHealth, Inc.

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

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
December 12, 2022 Filed Dec 14, 2022 21:23 UTC	ImmunityBio, Inc. IBRX · Entity 3618	ConversionCommon Stock	9,986,920	$5.67	$56,625,836.40	Disclosure SEC source: 0001326110-22-000089 · wf-form4_167105301713045.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 9,986,920 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: Shares held by NantWorks, LLC ("NantWorks"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks. Read SEC document
December 30, 2021 Filed Jul 5, 2022 16:47 UTC	Heliogen, Inc. HLGN · Entity 78373	GrantCommon Stock	1,011,663	$0.00	$0.00	Disclosure SEC source: 0000899243-22-025001 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,011,663 F1 · shares: Received on December 30, 2021 pursuant to that certain Business Combination Agreement, dated as of July 6, 2021, by and among Athena Technology Acquisition Corp., a Delaware corporation ("Athena"), HelioMax Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Athena, and Heliogen, Inc., a Delaware corporation ("Legacy Heliogen"), in exchange for Legacy Heliogen shares. F3 · shares: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital for purposes of Section 13(d) of the Exchange Act. Read SEC document
December 30, 2021 Filed Jul 5, 2022 16:47 UTC	Heliogen, Inc. HLGN · Entity 78373	GrantCommon Stock	24,646,323	$0.00	$0.00	Disclosure SEC source: 0000899243-22-025001 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,646,323 F1 · shares: Received on December 30, 2021 pursuant to that certain Business Combination Agreement, dated as of July 6, 2021, by and among Athena Technology Acquisition Corp., a Delaware corporation ("Athena"), HelioMax Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Athena, and Heliogen, Inc., a Delaware corporation ("Legacy Heliogen"), in exchange for Legacy Heliogen shares. F2 · shares: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 27, 2021 Filed Apr 28, 2021 18:54 UTC	NantHealth, Inc. NH · Entity 109592	Purchase4.50% Convertible Senior Notes due 2026 · Derivative	62,500,000	$62,500,000.00	$3,906,250,000,000,000.00	Disclosure SEC source: 0000899243-21-017244 · doc4.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 16,242,206 shares Expires 2026-04-27 F1 · derivative.exercise_price: The initial conversion rate of the 4.50% Convertible Senior Notes due 2026 (the "Notes") is 259.8753 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $3.85 per share), subject to adjustment pursuant to the terms of the Notes. F2 · derivative.exercise_date: The Notes will be convertible at the option of the reporting persons at any time prior to the close of business on the business day immediately preceding the maturity date of the Notes. The Notes will be convertible into cash, shares of the issuer's common stock, or a combination thereof, at the issuer's election F1 · derivative.underlying_shares: The initial conversion rate of the 4.50% Convertible Senior Notes due 2026 (the "Notes") is 259.8753 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $3.85 per share), subject to adjustment pursuant to the terms of the Notes. F3 · ownership.nature: The Notes are held by Nant Capital LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital, LLC and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document
April 13, 2021 Filed Apr 15, 2021 18:04 UTC	NantHealth, Inc. NH · Entity 109592	Other5.50% Convertible Senior Notes due 2021 · Derivative	5,000,000	$5,000,000.00	$25,000,000,000,000.00	Disclosure SEC source: 0000899243-21-015976 · doc4.xml · derivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,000,000 Underlying: Common Stock · 411,946 shares Expires 2021-12-15 F4 · derivative.exercise_price: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F5 · kind: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I. F5 · shares: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I. F6 · derivative.exercise_date: The Notes will be convertible at the option of the reporting persons only upon the satisfaction of certain conditions prior to the close of business on the business day immediately preceding September 15, 2021. Thereafter, the Notes will be convertible at the option of the reporting persons at any time or after September 15, 2021 until the close of business on the business day immediately preceding the maturity date. The Notes will be convertible into cash, shares of the issuer's common stock, or a combination thereof, at the issuer's election. F4 · derivative.underlying_shares: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F7 · ownership.nature: The Notes are held by Cambridge Equities, an entity affiliated with MP 13 Ventures, LLC who is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the convertible notes held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the convertible notes held by Cambridge Equities. Read SEC document
April 13, 2021 Filed Apr 15, 2021 18:04 UTC	NantHealth, Inc. NH · Entity 109592	PurchaseCommon Stock	1,689,189	$2.96	$4,999,999.44	Disclosure SEC source: 0000899243-21-015976 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,689,189 F1 · ownership.nature: Shares are held by Cambridge Equities, LP ("Cambridge Equities"), an entity affiliated with MP 13 Ventures, LLC ("MP 13 Ventures") who is the general partner of Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document
November 06, 2019 Filed Nov 8, 2019 09:00 UTC	NantHealth, Inc. NH · Entity 109592	GiftCommon Stock	5,000,000	$0.00	$0.00	Disclosure SEC source: 0000899243-19-026921 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 62,214,114 F1 · kind: Shares transferred for no value by NantWorks, LLC ("NantWorks") to (i) MIMI TRUST I OF DE 2009; (ii) STEVE TRUST I OF DE 2009; (iii) MIMI TRUST II OF DE 2009; and (iv) STEVE TRUST II OF DE 2009 (each a "Grantee"). Each Grantee received a total of 1,250,000 shares. F2 · ownership.nature: Shares held by NantWorks. California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the shares held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.