organization · Reporting owner

Nant Capital, LLC

Disclosed activity across 6 companies

Tapewire entity: 54238
SEC CIK: 0001675758

Reported relationships

Latest disclosed role at each company.

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

Disclosed balances

About these balances

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

Benitec Biopharma Inc.

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

Jointly reported with SOON-SHIONG PATRICK, CALIFORNIA CAPITAL EQUITY, LLC

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

Filing footnotes · ownership attribution and instrument terms

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

Heliogen, Inc.

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

Jointly reported with SOON-SHIONG PATRICK, Cambridge Equities, LP, MP 13 Ventures, LLC

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

ImmunityBio, Inc.

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

Jointly reported with SOON-SHIONG PATRICK, CALIFORNIA CAPITAL EQUITY, LLC, Cambridge Equities, LP, MP 13 Ventures, LLC

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

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

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

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

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

NantHealth, Inc.

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

Jointly reported with SOON-SHIONG PATRICK, CALIFORNIA CAPITAL EQUITY, LLC, NantWorks, LLC

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

PDS Biotechnology Corp

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

Jointly reported with SOON-SHIONG PATRICK

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

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

Panbela Therapeutics, Inc.

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

Jointly reported with SOON-SHIONG PATRICK

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

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

Transaction history

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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
November 15, 2024 Filed Nov 19, 2024 18:40 UTC	Panbela Therapeutics, Inc. PBLA · Entity 11460	Purchase8% Senior Convertible Note due 2025 · Derivative	Not disclosed	$9,150,000.00 Strike: $0.37	$9,150,000.00	Disclosure SEC source: 0000950170-24-128924 · ownership.xml · derivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 24,729,730 shares Expires 2025-04-22 F1 · security: The holding includes the 8% Senior Convertible Tranche A Note issued on October 22, 2024 ("Tranche A Note") as previously reported on the Form 3 filed on October 29, 2024, and the 8% Senior Convertible Tranche B Note issued on November 15, 2024 (the "Tranche B Note"), in each case issued pursuant to that certain Note Purchase Agreement by and between the Issuer and Nant Capital, LLC ("Nant Capital") dated October 22, 2024 (the "Purchase Agreement"). The Tranche A Note and the Tranche B Note are reported as a single holding (the "Note"). Interest accrues on the unpaid principal amount at a rate equal to 8.0% plus the Monthly SOFR Rate (as defined in the Note), which shall be due and payable in full on April 22, 2025 (the "Maturity Date") F2 · derivative.underlying_shares: Subject to an issuance limitation in the event of a voluntary conversion of the Note occurring prior to the Maturity Date that prohibits Nant Capital from converting the Note to the extent that after giving effect to the issuance of the Issuer's common stock after such conversion, Nant Capital (together with Nant Capital's affiliates, and any other person acting as a group together with Nant Capital or any of Nant Capital's affiliates) would beneficially own in excess of 33.33% of the shares of the Issuer's common stock outstanding. If the Note has not previously been repaid in full in cash or converted in full into shares of the Issuer's common stock on or before the Maturity Date, Nant Capital will have the right to convert each Note in full, including accrued but unpaid interest, at Nant Capital's sole discretion, at a conversion price of $0.37. F3 · valueOwnedAfter: Includes the Tranche A Note of $2,850,000 principal amount as previously reported on the Form 3. F4 · ownership.direct: Note held by Nant Capital. Dr. Patrick Soon-Shiong owns all of the equity interests of Nant Capital and Dr. Soon-Shiong may be deemed to have beneficial ownership of the shares held by Nant Capital. 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	Disclosure SEC 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
December 29, 2023 Filed Jan 4, 2024 02:53 UTC	ImmunityBio, Inc. IBRX · Entity 3618	OtherConvertible Promissory Note · Derivative	Not disclosed	$30,000,000.00 Strike: $2.28	$30,000,000.00	Disclosure SEC source: 0001326110-24-000009 · wk-form4_1704336782.xml · derivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 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 F3 · kind: In connection with the RIPA, the Issuer entered into a letter agreement, dated as of December 29, 2023, pursuant to which the Issuer and Nant Capital agreed to extend the maturity date of an existing convertible promissory note with an aggregate principal amount of approximately $30 million held by Nant Capital from December 31, 2023, as previously reported in the Form 4 filed May 16, 2023, to December 31, 2025. 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 note at the time of conversion into shares of the Issuer's Common Stock at a price of $2.28 per share. F3 · reported_value: In connection with the RIPA, the Issuer entered into a letter agreement, dated as of December 29, 2023, pursuant to which the Issuer and Nant Capital agreed to extend the maturity date of an existing convertible promissory note with an aggregate principal amount of approximately $30 million held by Nant Capital from December 31, 2023, as previously reported in the Form 4 filed May 16, 2023, to December 31, 2025. 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 note at the time of conversion into shares of the Issuer's Common Stock at a price of $2.28 per share. F3 · derivative.expiration_date: In connection with the RIPA, the Issuer entered into a letter agreement, dated as of December 29, 2023, pursuant to which the Issuer and Nant Capital agreed to extend the maturity date of an existing convertible promissory note with an aggregate principal amount of approximately $30 million held by Nant Capital from December 31, 2023, as previously reported in the Form 4 filed May 16, 2023, to December 31, 2025. 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 note at the time of conversion into shares of the Issuer's Common Stock at a price of $2.28 per share. F3 · underlyingValue: In connection with the RIPA, the Issuer entered into a letter agreement, dated as of December 29, 2023, pursuant to which the Issuer and Nant Capital agreed to extend the maturity date of an existing convertible promissory note with an aggregate principal amount of approximately $30 million held by Nant Capital from December 31, 2023, as previously reported in the Form 4 filed May 16, 2023, to December 31, 2025. 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 note at the time of conversion into shares of the Issuer's Common Stock at a price of $2.28 per share. F4 · ownership.nature: Convertible Promissory Note, dated as of March 31, 2023, as amended, held by Nant Capital, an investment vehicle of the reporting person. Read SEC document
December 29, 2023 Filed Jan 4, 2024 02:53 UTC	ImmunityBio, Inc. IBRX · Entity 3618	OtherAmended and Restated Promissory Note · Derivative	Not disclosed	$380,000,000.00 Strike: $8.27	$380,000,000.00	Disclosure SEC source: 0001326110-24-000009 · wk-form4_1704336782.xml · derivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 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 F1 · kind: On December 29, 2023, in connection with the Issuer entering into a Revenue Interest Purchase Agreement with Infinity SA LLC, an affiliate of Oberland Capital Management LLC, as collateral agent and administrative agent for the purchasers party thereto (the "RIPA"), the Issuer and Nant Capital, LLC ("Nant Capital") entered into an Amended and Restated Promissory Note pursuant to which the Issuer and Nant Capital agreed to extend the maturity dates of certain existing promissory notes held by Nant Capital from December 31, 2024 to December 31, 2025, and to allow Nant Capital, in its sole discretion, to convert up to an aggregate of $380 million of principal, plus accrued and unpaid interest thereon, into shares of Issuer's Common Stock at a price per share equal to $8.27. F1 · underlyingValue: On December 29, 2023, in connection with the Issuer entering into a Revenue Interest Purchase Agreement with Infinity SA LLC, an affiliate of Oberland Capital Management LLC, as collateral agent and administrative agent for the purchasers party thereto (the "RIPA"), the Issuer and Nant Capital, LLC ("Nant Capital") entered into an Amended and Restated Promissory Note pursuant to which the Issuer and Nant Capital agreed to extend the maturity dates of certain existing promissory notes held by Nant Capital from December 31, 2024 to December 31, 2025, and to allow Nant Capital, in its sole discretion, to convert up to an aggregate of $380 million of principal, plus accrued and unpaid interest thereon, into shares of Issuer's Common Stock at a price per share equal to $8.27. F2 · ownership.nature: Amended and Restated Promissory Note, dated as of December 29, 2023, 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	PurchaseConvertible Promissory Note · Derivative	Not disclosed	$200,000,000.00 Strike: $1.94	$200,000,000.00	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC source: 0000950170-23-048020 · ownership.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · See remarks · 10% owner Cambridge Equities, LP · CIK 0001629222 · 10% owner MP 13 Ventures, LLC · CIK 0001629186 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 129,227,017 F1 · kind: On September 11, 2023, the Issuer, the Issuer's wholly-owned subsidiary NantCell, Inc., Nant Capital, LLC ("Nant Capital"), NantMobile, LLC ("NantMobile") and NantCancerStemCell, LLC ("NCSC" and together with Nant Capital and NantMobile, the "Purchasers"), entered into a Stock Purchase Agreement (the "SPA") pursuant to which the Purchasers exchanged certain existing convertible promissory notes, identified in the SPA as the "Notes," at a price per share of $1.29. As a result of the exchange, the Issuer is forever released and discharged from all its obligations and liabilities under the Notes. F2 · ownership.nature: Shares held by Nant Capital, an investment vehicle of the reporting person. Read SEC document
September 01, 2023 Filed Sep 6, 2023 21:12 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	7,360	$6.49	$47,791.42	Disclosure SEC source: 0000899243-23-018664 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 946,275 F1 · price: This transaction was executed in multiple trades at prices ranging from $6.18 to $7.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · balance_after: On August 31, 2023, the issuer effected a 1-for-35 reverse stock split (the "Reverse Stock Split") of its outstanding shares of Common Stock. The numbers of shares of Common Stock reported on this Form 4 have been adjusted to reflect the Reverse Split unless otherwise noted. F3 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
August 28, 2023 Filed Aug 30, 2023 17:26 UTC	NantHealth, Inc. NH · Entity 109592	PurchaseCommon Stock	537,272	$18.61	$9,999,975.10	Disclosure SEC source: 0000950170-23-045521 · ownership.xml · nonDerivative · entry 2 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 15,921,888 F1 · shares: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F3 · price: $10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note. F2 · ownership.nature: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document
August 28, 2023 Filed Aug 30, 2023 17:26 UTC	NantHealth, Inc. NH · Entity 109592	PurchaseCommon Stock	15,384,616	$0.39	$6,000,000.24	Disclosure SEC source: 0000950170-23-045521 · ownership.xml · nonDerivative · entry 1 SOON-SHIONG PATRICK · CIK 0001189020 · Director · Chief Executive Officer · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner NantWorks, LLC · CIK 0001675760 · 10% owner Nant Capital, LLC · CIK 0001675758 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 15,384,616 F1 · shares: Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. F2 · ownership.nature: Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. Read SEC document
June 22, 2023 Filed Jun 26, 2023 21:51 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	634,251	$0.23	$146,068.01	Disclosure SEC source: 0000899243-23-016529 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,862,027 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.23 to $0.24. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 21, 2023 Filed Jun 21, 2023 18:16 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	263,695	$0.23	$61,862.85	Disclosure SEC source: 0000899243-23-016170 · doc4.xml · nonDerivative · entry 3 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,227,776 F4 · price: This transaction was executed in multiple trades at prices ranging from $0.2304 to $0.2350. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 20, 2023 Filed Jun 21, 2023 18:16 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	62,916	$0.23	$14,722.34	Disclosure SEC source: 0000899243-23-016170 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,964,081 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2327 to $0.2350. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 16, 2023 Filed Jun 21, 2023 18:16 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	40,048	$0.22	$8,802.55	Disclosure SEC source: 0000899243-23-016170 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,901,165 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2161 to $0.2200. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 15, 2023 Filed Jun 15, 2023 19:31 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	387,612	$0.21	$81,243.48	Disclosure SEC source: 0000899243-23-015652 · doc4.xml · nonDerivative · entry 3 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,861,117 F4 · price: This transaction was executed in multiple trades at prices ranging from $0.2085 to $0.2100. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 14, 2023 Filed Jun 15, 2023 19:31 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	279,752	$0.21	$58,747.92	Disclosure SEC source: 0000899243-23-015652 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,473,505 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2090 to $0.2100. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 13, 2023 Filed Jun 15, 2023 19:31 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	1,058,542	$0.20	$210,649.86	Disclosure SEC source: 0000899243-23-015652 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,193,753 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.1912 to $0.2000. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 09, 2023 Filed Jun 9, 2023 19:45 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	768,835	$0.23	$176,755.17	Disclosure SEC source: 0000899243-23-015295 · doc4.xml · nonDerivative · entry 3 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,135,211 F4 · price: This transaction was executed in multiple trades at prices ranging from $0.2298 to $0.23. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 08, 2023 Filed Jun 9, 2023 19:45 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	1,966,263	$0.22	$430,218.34	Disclosure SEC source: 0000899243-23-015295 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,366,376 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.214 to $0.23. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 07, 2023 Filed Jun 9, 2023 19:45 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	1,000,000	$0.25	$245,200.00	Disclosure SEC source: 0000899243-23-015295 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,400,113 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2437 to $0.2485. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 02, 2023 Filed Jun 5, 2023 19:21 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	158,355	$0.24	$38,749.47	Disclosure SEC source: 0000899243-23-014517 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,400,113 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2328 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
June 01, 2023 Filed Jun 5, 2023 19:21 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	21,657	$0.25	$5,409.92	Disclosure SEC source: 0000899243-23-014517 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,241,758 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2472 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 13, 2023 Filed Apr 17, 2023 17:18 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	7,077	$0.25	$1,769.25	Disclosure SEC source: 0000899243-23-011312 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,220,101 F1 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 12, 2023 Filed Apr 12, 2023 20:06 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	172,345	$0.25	$43,017.31	Disclosure SEC source: 0000899243-23-011223 · doc4.xml · nonDerivative · entry 3 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,213,024 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2469 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 11, 2023 Filed Apr 12, 2023 20:06 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	280,219	$0.25	$70,054.75	Disclosure SEC source: 0000899243-23-011223 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,040,679 F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 10, 2023 Filed Apr 12, 2023 20:06 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	88,086	$0.25	$21,968.65	Disclosure SEC source: 0000899243-23-011223 · doc4.xml · nonDerivative · entry 1 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,760,460 F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2463 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document
April 06, 2023 Filed Apr 10, 2023 21:21 UTC	Heliogen, Inc. HLGN · Entity 78373	PurchaseCommon Stock	641,027	$0.25	$159,102.90	Disclosure SEC source: 0000899243-23-011075 · doc4.xml · nonDerivative · entry 2 Nant Capital, LLC · CIK 0001675758 · 10% owner CALIFORNIA CAPITAL EQUITY, LLC · CIK 0001517764 · 10% owner SOON-SHIONG PATRICK · CIK 0001189020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,672,374 F3 · price: This transaction was executed in multiple trades at prices ranging from $0.2424 to $0.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.direct: These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. Read SEC document

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