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