0001209191-15-063804.txt : 20150804 0001209191-15-063804.hdr.sgml : 20150804 20150804184703 ACCESSION NUMBER: 0001209191-15-063804 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150727 FILED AS OF DATE: 20150804 DATE AS OF CHANGE: 20150804 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NantKwest, Inc. CENTRAL INDEX KEY: 0001326110 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 431979754 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2533 SOUTH COAST HIGHWAY 101 STREET 2: SUITE 210 CITY: CARDIFF-BY-THE-SEA STATE: CA ZIP: 92007 BUSINESS PHONE: (858) 633-0300 MAIL ADDRESS: STREET 1: 2533 SOUTH COAST HIGHWAY 101 STREET 2: SUITE 210 CITY: CARDIFF-BY-THE-SEA STATE: CA ZIP: 92007 FORMER COMPANY: FORMER CONFORMED NAME: Conkwest, Inc. DATE OF NAME CHANGE: 20140416 FORMER COMPANY: FORMER CONFORMED NAME: ZelleRx Corp DATE OF NAME CHANGE: 20050504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MP 13 Ventures, LLC CENTRAL INDEX KEY: 0001629186 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37507 FILM NUMBER: 151026975 BUSINESS ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cambridge Equities, LP CENTRAL INDEX KEY: 0001629222 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37507 FILM NUMBER: 151026976 BUSINESS ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOON-SHIONG PATRICK CENTRAL INDEX KEY: 0001189020 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37507 FILM NUMBER: 151026977 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 FORMER NAME: FORMER CONFORMED NAME: SOON SHIONG PATRICK DATE OF NAME CHANGE: 20020912 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-07-27 0 0001326110 NantKwest, Inc. NK 0001189020 SOON-SHIONG PATRICK C/O NANTKWEST, INC. 2533 SOUTH COAST HIGHWAY 101, SUITE 210 CARDIFF-BY-THE-SEA CA 92007-2133 1 1 1 0 Chairman and CEO 0001629222 Cambridge Equities, LP C/O NANTKWEST, INC. 2533 SOUTH COAST HIGHWAY 101, SUITE 210 CARDIFF-BY-THE-SEA CA 92007-2133 0 0 1 0 0001629186 MP 13 Ventures, LLC C/O NANTKWEST, INC. 2533 SOUTH COAST HIGHWAY 101, SUITE 210 CARDIFF-BY-THE-SEA CA 92007-2133 0 0 1 0 Common Stock 2015-07-27 4 A 0 600000 0.00 A 600000 D Common Stock 40566557 I See footnote Stock Option (right to buy) 25.00 2015-07-27 4 A 0 900000 0.00 A 2025-07-27 Common Stock 900000 900000 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the RSUs will vest as follows: 50% of the RSUs vested on the July 27, 2015, and 50% of the RSUs will vest on July 27, 2016. 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. Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option will vest as follows: 50% of the shares subject to the option vested and became exercisable on the July 27, 2015, and 50% of the shares subject to the option shall vest and become exercisable on July 27, 2016. /s/ Patrick Soon-Shiong and /s/ Charles Kenworthy, Manager of MP 13 Ventures, on behalf of itself and as General Partner of Cambridge Equities 2015-08-04