0001326110-24-000009.txt : 20240103 0001326110-24-000009.hdr.sgml : 20240103 20240103215311 ACCESSION NUMBER: 0001326110-24-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231229 FILED AS OF DATE: 20240103 DATE AS OF CHANGE: 20240103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOON-SHIONG PATRICK CENTRAL INDEX KEY: 0001189020 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37507 FILM NUMBER: 24509666 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nant Capital, LLC CENTRAL INDEX KEY: 0001675758 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37507 FILM NUMBER: 24509665 BUSINESS ADDRESS: BUSINESS PHONE: 310-836-6400 MAIL ADDRESS: STREET 1: 9922 JEFFERSON BOULEVARD CITY: CULVER CITY STATE: CA ZIP: 90232 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ImmunityBio, Inc. CENTRAL INDEX KEY: 0001326110 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 431979754 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3530 JOHN HOPKINS COURT CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: (844) 696-5235 MAIL ADDRESS: STREET 1: 3530 JOHN HOPKINS COURT CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: NantKwest, Inc. DATE OF NAME CHANGE: 20150713 FORMER COMPANY: FORMER CONFORMED NAME: Conkwest, Inc. DATE OF NAME CHANGE: 20140416 FORMER COMPANY: FORMER CONFORMED NAME: ZelleRx Corp DATE OF NAME CHANGE: 20050504 4 1 wk-form4_1704336782.xml FORM 4 X0508 4 2023-12-29 0 0001326110 ImmunityBio, Inc. IBRX 0001189020 SOON-SHIONG PATRICK C/O IMMUNITYBIO, INC. 3530 JOHN HOPKINS COURT SAN DIEGO CA 92121 1 1 1 0 See remarks 0001675758 Nant Capital, LLC 450 DULEY ROAD EL SEGUNDO CA 90245 0 0 1 0 0 Amended and Restated Promissory Note 8.27 2023-12-29 4 J 0 380000000 380000000 A 2023-12-29 2025-12-31 Common Stock 380000000 I See footnote Convertible Promissory Note 2.28 2023-12-29 4 J 0 30000000 30000000 A 2023-05-12 2025-12-31 Common Stock 30000000 I See footnote 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. Amended and Restated Promissory Note, dated as of December 29, 2023, held by Nant Capital, an investment vehicle of the reporting person. 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. Convertible Promissory Note, dated as of March 31, 2023, as amended, held by Nant Capital, an investment vehicle of the reporting person. Executive Chairman, Global Chief Scientific and Medical Officer /s/ Patrick Soon-Shiong 2024-01-03 /s/ Charles Kenworthy, Manager of Nant Capital 2024-01-03