organization · Reporting owner
MP 13 Ventures, LLC
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Heliogen, Inc.HLGN · Entity 78373 | 10% owner | February 15, 2024 | February 20, 2024 |
| ImmunityBio, Inc.IBRX · Entity 3618 | 10% owner | March 31, 2026 | April 03, 2026 |
| NantHealth, Inc.NH · Entity 109592 | 10% owner | April 13, 2021 | April 15, 2021 |
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.
Heliogen, Inc.
Report date February 15, 2024 · Filed February 20, 2024
Jointly reported with Nant Capital, LLC, SOON-SHIONG PATRICK, Cambridge Equities, LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 442,298 |
Reported balance
After 2024-02-15 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2024-02-15 · Purchase · Acquired 442,298 · Balance 442,298 F1: Common Stock of the Issuer acquired by Cambridge Equities, LP ("Cambridge Equities") in a private transaction pursuant to a Stock Transfer Agreement. F2: The purchase price was calculated based on the OTCQX Best Market volume weighted average closing price of the Issuer's common stock, as reported by OTC Markets Group Inc. during the ten (10) trading day period ending on the trading day prior to the date of sale. F3: Transaction previously reported on Form 3 jointly filed by Cambridge Equities and MP13 Ventures, LLC ("MP 13 Ventures"). F4: Shares owned by Cambridge Equities, who is a member of a "group" with Nant Capital, LLC ("Nant Capital") and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. MP13 Ventures is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities and Dr. Patrick Soon-Shiong is the sole member of MP13 Ventures. As a result, MP13 Ventures and Dr. Soon-Shiong may be deemed to beneficially own, and share with Cambridge Equities the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Cambridge Equities. F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 946,275 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 946,275 F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest. F6: These shares are owned by Nant Capital, who is a member of a "group" with Cambridge Equities and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Dr. Soon-Shiong is the sole member of Nant Capital and thus may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Nant Capital. |
| Common StockSEC Table I · non-derivative | Direct | 67,020 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 67,020 F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest. F7: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital and Cambridge Equities for purposes of Section 13(d) of the Exchange Act. |
Filing footnotes · ownership attribution and instrument terms
F1: Common Stock of the Issuer acquired by Cambridge Equities, LP ("Cambridge Equities") in a private transaction pursuant to a Stock Transfer Agreement.
F2: The purchase price was calculated based on the OTCQX Best Market volume weighted average closing price of the Issuer's common stock, as reported by OTC Markets Group Inc. during the ten (10) trading day period ending on the trading day prior to the date of sale.
F3: Transaction previously reported on Form 3 jointly filed by Cambridge Equities and MP13 Ventures, LLC ("MP 13 Ventures").
F4: Shares owned by Cambridge Equities, who is a member of a "group" with Nant Capital, LLC ("Nant Capital") and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. MP13 Ventures is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities and Dr. Patrick Soon-Shiong is the sole member of MP13 Ventures. As a result, MP13 Ventures and Dr. Soon-Shiong may be deemed to beneficially own, and share with Cambridge Equities the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Cambridge Equities.
F5: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest.
F6: These shares are owned by Nant Capital, who is a member of a "group" with Cambridge Equities and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Dr. Soon-Shiong is the sole member of Nant Capital and thus may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Nant Capital.
F7: These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital and Cambridge Equities for purposes of Section 13(d) of the Exchange Act.
ImmunityBio, Inc.
Report date March 31, 2026 · Filed April 03, 2026
Jointly reported with SOON-SHIONG PATRICK, CALIFORNIA CAPITAL EQUITY, LLC, Cambridge Equities, LP, 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 April 13, 2021 · Filed April 15, 2021
Jointly reported with SOON-SHIONG PATRICK, CALIFORNIA CAPITAL EQUITY, LLC, NantWorks, LLC, Cambridge Equities, LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,689,189 |
Reported balance
After 2021-04-13 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2021-04-13 · Purchase · Acquired 1,689,189 · Balance 1,689,189 F1: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 62,214,114 |
Reported balance
Holding disclosure · report date 2021-04-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 62,214,114 F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,899,297 |
Reported balance
Holding disclosure · report date 2021-04-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,899,297 F3: Shares held by NantOmics, LLC ("NantOmics"). NantWorks directly owns a majority of the equity interests of NantOmics. 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. |
| 5.50% Convertible Senior Notes due 2021SEC Table II · derivative / convertible security · Expires 2021-12-15 | IndirectSee Footnote | 5,000,000 |
Reported balance
After 2021-04-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-04-13 · Other · Disposed 5,000,000 · Balance 5,000,000 F4: 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: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I. F6: 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. F7: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
F3: Shares held by NantOmics, LLC ("NantOmics"). NantWorks directly owns a majority of the equity interests of NantOmics. 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.
F4: 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: Portion of the Convertible Senior Note was forgiven as consideration for the purchase of shares reported in Table I.
F6: 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.
F7: 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.
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 |
| February 15, 2024 Filed Feb 20, 2024 16:51 UTC | Heliogen, Inc. HLGN · Entity 78373 | PurchaseCommon Stock | 442,298 | $1.52 | $672,071.81 |
DisclosureSEC source: 0000950170-24-017225 · ownership.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 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: No plan indicated Ownership: Direct Disclosed balance after: 442,298 F1 · kind: Common Stock of the Issuer acquired by Cambridge Equities, LP ("Cambridge Equities") in a private transaction pursuant to a Stock Transfer Agreement. F2 · price: The purchase price was calculated based on the OTCQX Best Market volume weighted average closing price of the Issuer's common stock, as reported by OTC Markets Group Inc. during the ten (10) trading day period ending on the trading day prior to the date of sale. F3 · balance_after: Transaction previously reported on Form 3 jointly filed by Cambridge Equities and MP13 Ventures, LLC ("MP 13 Ventures"). F4 · ownership.direct: Shares owned by Cambridge Equities, who is a member of a "group" with Nant Capital, LLC ("Nant Capital") and Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. MP13 Ventures is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities and Dr. Patrick Soon-Shiong is the sole member of MP13 Ventures. As a result, MP13 Ventures and Dr. Soon-Shiong may be deemed to beneficially own, and share with Cambridge Equities the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares owned by Cambridge Equities. F5 · ownership.direct: The reporting owners disclaims beneficial ownership over the shares owned, except to the extent of their pecuniary interest. 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 |
| 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 |
| 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 |
DisclosureSEC 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 |
| 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 |
DisclosureSEC 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 |
DisclosureSEC source: 0000899243-21-015976 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,689,189 F1 · ownership.nature: Shares are held by Cambridge Equities, LP ("Cambridge Equities"), an entity affiliated with MP 13 Ventures, LLC ("MP 13 Ventures") who is the general partner of Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document |
| March 09, 2021 Filed Mar 12, 2021 02:30 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherCommon Stock | 7,976,159 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnte Disclosed balance after: 7,976,159 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. F4 · ownership.nature: Shares held by California Capital Equity, LLC ("CalCap"). The reporting person owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document |
| March 09, 2021 Filed Mar 12, 2021 02:30 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherCommon Stock | 8,383,414 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 3 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,383,414 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. F3 · ownership.nature: Shares held by NantBio, Inc. ("NantBio"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the shares held by NantBio. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the shares held by NantBio. Read SEC document |
| March 09, 2021 Filed Mar 12, 2021 02:30 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherCommon Stock | 221,130,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 261,705,814 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. F2 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document |
| March 09, 2021 Filed Mar 12, 2021 02:30 UTC | ImmunityBio, Inc. IBRX · Entity 3618 | OtherCommon Stock | 5,723,182 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,473,932 F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio. Read SEC document |
| June 29, 2020 Filed Jun 29, 2020 23:36 UTC | ImmunityBio, Inc. NK · Entity 3618 | PurchaseCommon Stock | 3,710,000 | $12.12 | $44,965,200.00 |
DisclosureSEC source: 0001209191-20-039238 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,750,750 Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionStock Option (right to buy) · Derivative | 1,851,500 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001209191-19-020891 · doc4.xml · derivative · entry 6 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,851,500 shares Expires 2019-03-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Subject to the reporting person's continuing service, one forty-eighth (1/48th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is March 24, 2015. The shares subject to the option shall fully vest and become exercisable upon a change in control, as defined in the reporting person's employment agreement. If the reporting person's employment is terminated without "cause" or if the reporting person resigns for "good reason" (as such terms are defined in the reporting person's employment agreement), the shares subject to the option shall fully vest and become exercisable. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC | ImmunityBio, Inc. NK · Entity 3618 | OtherWarrant (right to buy) · Derivative | 17,589,250 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001209191-19-020891 · doc4.xml · derivative · entry 5 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,589,250 shares Expires 2019-03-24 F4 · derivative.exercise_date: 185,150 of the shares subject to the warrant vested and became exercisable monthly for forty (40) months beginning April 1, 2015. The remaining 10,183,250 shares subject to the warrant vested and became exercisable upon the completion of certain milestones as defined in the warrant. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionCommon Stock | 1,851,500 | $2.20 | $4,070,152.45 |
DisclosureSEC source: 0001209191-19-020891 · doc4.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,040,750 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 01:06 UTC | ImmunityBio, Inc. NK · Entity 3618 | OtherCommon Stock | 17,589,250 | $2.00 | $35,150,357.20 |
DisclosureSEC source: 0001209191-19-020891 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,189,250 Read SEC document |
| July 11, 2018 Filed Jul 13, 2018 23:26 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionWarrant (right to buy) · Derivative | 9,257 | $0.00 Strike: $1.62 | $0.00 |
DisclosureSEC source: 0001209191-18-042582 · doc4.xml · derivative · entry 4 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 9,257 shares Expires 2018-07-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Warrant was exercisable on the original date of issuance. F4 · ownership.nature: Warrant held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the warrant and the shares issued upon the exercise of the warrant held by Cambridge Equities. Read SEC document |
| July 11, 2018 Filed Jul 13, 2018 23:26 UTC | ImmunityBio, Inc. NK · Entity 3618 | Exercise / conversionCommon Stock | 9,257 | $1.62 | $15,000.04 |
DisclosureSEC source: 0001209191-18-042582 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40,565,814 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:11 UTC | ImmunityBio, Inc. NK · Entity 3618 | GiftCommon Stock | 450,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-001159 · doc4.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40,556,557 F1 · kind: Shares transferred for no value by Cambridge Equities, LP to the Chan Soon-Shiong NantHealth Foundation, a 501(c)(3) non-profit Delaware corporation. F2 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities. Read SEC document |
| December 21, 2016 Filed Dec 23, 2016 17:00 UTC | NantHealth, Inc. NH · Entity 109592 | Purchase5.50% Convertible Senior Notes due 2021 · Derivative | 10,000,000 | $10,000,000.00 | $100,000,000,000,000.00 |
DisclosureSEC source: 0000899243-16-036294 · doc4.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chairman and CEO · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 823,893 shares Expires 2021-12-15 F1 · derivative.exercise_price: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F2 · derivative.exercise_date: The Notes will be convertible at the option of the reporting persons only upon the satisfaction of certain conditions prior to the close of business on the business day immediately preceding September 15, 2021. Thereafter, the Notes will be convertible at the option of the reporting persons at any time or after September 15, 2021 until the close of business on the business day immediately preceding the maturity date. The Notes will be convertible into cash, shares of the issuer's common stock, or a combination thereof, at the issuer's election. F1 · derivative.underlying_shares: The initial conversion rate of the 5.50% Convertible Senior Notes due 2021 (the "Notes") is 82.3893 shares of common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $12.14 per share), subject to adjustment pursuant to the terms of the Notes. F3 · ownership.nature: The Notes are held by Cambridge Equities, LP ("Cambridge Equities"), an entity affiliated with . MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the option held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the option held by Cambridge Equities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.