EX-99.1 2 d452367dex991.htm EX-99.1 EX-99.1

LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

  

 

Exhibit 99.1

 

LOGO

 

Note to Stockholders of Scilex Holding Company (Scilex): In connection with the dividend by Scilex’s controlling stockholder, Sorrento Therapeutics, Inc. (Sorrento), of shares of Scilex common stock held by Sorrento, Sorrento has issued the below “Supplement to Frequently Asked Questions” regarding such dividend. This information is also available on Sorrento’s website at www.sorrentotherapeutics.com.

 

 

SUPPLEMENT TO

FREQUENTLY ASKED QUESTIONS

REGARDING THE DIVIDEND OF SCILEX HOLDING COMPANY COMMON STOCK BY SORRENTO THERAPEUTICS, INC.

This supplement is a supplement to the Frequently Asked Questions Regarding the Dividend of Scilex Holding Company Common Stock by Sorrento Therapeutics, Inc. (Sorrento) that was issued by Sorrento on January 29, 2023 (the FAQ), a copy of which can be found under the “Investors” section of its website at www.sorrentotherapeutics.com.

This supplement is being issued to update and supplement the information in the FAQ to notify investors regarding certain matters relating to the dividend and reiterate certain questions and answers from the FAQ. Capitalized terms used in this supplement shall have their respective meetings set forth in the FAQ.

 

 

NOTICE OF REMOVAL OF CONTRA-CUSIP BY DTCC

Effective as of February 2, 2023, the Depository Trust and Clearing Corporation (DTCC) has removed the “contra-CUSIP” that it had previously imposed on the Dividend Stock. Any shares of Dividend Stock held by your brokerage firm, bank, dealer or other similar organization for your benefit now bear only Scilex’s CUSIP number, which is 80880W106. If you are entitled to receive Dividend Stock, please contact your brokerage firm, bank, or other similar organization immediately to confirm that the CUSIP number appears on your brokerage statement with respect to your Dividend Stock.

 

 

NOTICE TO BROKERAGE FIRMS, BANKS, DEALERS AND OTHER SIMILAR ORGANIZATIONS

If the name of your firm, bank or other similar organization is set forth on Annex B of the FAQ, which Annex B is repeated below for convenience, and your firm, bank or similar organization has not received the Dividend Confirmation that was mailed to your firm, bank or similar organization, please contact Scilex’s transfer agent immediately to obtain a copy of the Dividend Confirmation. Scilex’s transfer agent’s contact information is as follows:

Continental Stock Transfer & Trust Company

Telephone Number: 800-509-5586

Email Address: cstmail@continentalstock.com

Several major brokers have confirmed to Sorrento and Scilex that they are adding the Scilex share positions to the individual brokerage accounts of Sorrento shareholders receiving the Dividend Stock.

 

1


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

SUPPLEMENTAL QUESTION AND ANSWER

 

Q:

If I loaned my shares of Sorrento common stock to short sellers or any other party as of the Record Date, am I still entitled to receive Dividend Stock as of the Payment Date?

 

A:

Only Record Holders as of the Record Date are entitled to receive the Dividend Stock. If you were the Record Holder as of the Record Date and are entitled to receive the Dividend Stock, but have not received the Dividend Stock, you may be entitled to receive Dividend Stock from the short seller or other party who borrowed your shares of Sorrento common stock, whether through the lending programs implemented by your brokerage firm, bank, dealer and other similar organization or otherwise. If you were a Record Holder as of the Record Date and have not received your Dividend Stock, please consult with your financial advisor, broker or other agent immediately to determine how to receive your Dividend Stock.

 

2


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Annex B

Broker List

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

ABN AMRO CLEARING CHICAGO LLC    175 WEST JACKSON BLVD.
CHICAGO
IL ILLINOIS
60604 US
      Albert Fried & Company LLC    45 BROADWAY, 24TH FLOOR 24TH FLOOR
NEW YORK
NY NEW YORK
10006 US
AMALGAMATED BANK    275 7TH AVENUE
NEW YORK
NY NEW YORK
10003 US
      AMERICAN ENTERPRISE INVESTMENT SERVICES INC.    682 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN MINNESOTA
55474 US
APEX CLEARING CORPORATION    2 GATEWAY CENTER 283-299 MARKET ST
16TH FLOOR
NEWARK
NJ NEW JERSEY
07102-5005 US
      BANK OF AMERICA, NA/GWIM TRUST OPERATIONS    901 MAIN STREET
12TH FLOOR
DALLAS
TX TEXAS
23113 US
BANK OF NEW YORK MELLON    111 SANDERS CREEK PARKWAY 2ND FLOOR
2ND FLOOR
EAST SYRACUSE
      BARCLAYS CAPITAL INC.    DTC CUSTODY PARTICIPANT- NY WINDOW -570 WASHINGTON BLVD (ATTN: ROSA HICKS-MILLER OR ROBERT

 

3


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

   NY NEW YORK
13057 US.
         MENDEZ
JERSEY CITY
NJ NEW JERSEY
07310 US
BARCLAYS CAPITAL INC.    DTC CUSTODY PARTICIPANT- NY WINDOW -570 WASHINGTON BLVD (ATTN: ROSA HICKS-MILLER OR ROBERT MENDEZ
JERSEY CITY
NJ NEW JERSEY
07310 US
      BMO CAPITAL MARKETS CORP.    3 2ND STREET
12TH FLOOR
JERSEY CITY
NJ NEW JERSEY
07302 US
BMO HARRIS BANK NA/TRUST    11270 W PARK PL
MILWAUKEE
WI WISCONSIN
53224 US
      BMO Nesbitt Burns Inc., Toronto    250 YONGE STREET, 7TH FLOOR
7TH FLOOR
TORONTO
ON ONTARIO
M5B 2M8 CA CANADA
BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE CUSTODIAN    100 WEST 33RD STREET
3RD FLOOR
NEW YORK
NY NEW YORK
10001
      BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE CUSTODIAN    100 WEST 33RD STREET
3RD FLOOR
NEW YORK
NY NEW YORK
10001
BNY MELLON    PO BOX 392002
500 ROSS STREET
PITTSBURGH
PA PENNSYLVANIA
15262 US
      BNY MELLON/WEALTH MANAGEMENT    1 FREEDOM VALLEY DRIVE
OAKS
PA PENNSYLVANIA
19456 US
BNYMELLON    111 SANDERS CREEK PARKWAY 2ND FLOOR
2ND FLOOR
EAST SYRACUSE
NY NEW YORK
13057 US
      BNYMELLON/RE BARCLAYS CAPITAL SECURITIES LTD.    ONE WALL STREET
NEW YORK
NY NEW YORK
10286

 

4


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

BNYMELLON/RE CACEIS BANK LUXEMBOURG    500 Grant St.
BNY Mellon Center
PITTSBURGH
PA PENNSYLVANIA
15258
      BNYMELLON/RE CACEIS BANK, NETHERLANDS    111 SANDERS CREEK PARKWAY
EAST SYRACUSE
NY NEW YORK
13057
BNYMELLON/RE CHARLES STANLEY AND COMPANY, LIMITED    111 SANDERS CREEK PARKWAY 2ND FLOOR
2ND FLOOR
EAST SYRACUSE
NY NEW YORK
13057 US
      BNYMELLON/RE ETF - ISHARES DTC/NSCC    111 SANDERS CREEK PARKWAY
EAST SYRACUSE
NY NEW YORK
13057
BNYMELLON/RE WINTERFLOOD SECURITIES LTD    500 Grant St.
BNY Mellon Center
PITTSBURGH
PA PENNSYLVANIA
15258
      BOFA    4804 Deer Lake Drive East
FL9-803-04-04- 4th floor
JACKSONVILLE
FL FLORIDA
32246 US
BOFA    4804 Deer Lake Drive East
FL9-803-04-04- 4th floor
JACKSONVILLE
FL FLORIDA
32246 US
      BOFA SECURITIES INC    4804 Deer Lake Drive East
FL9-803-04-04- 4th floor
JACKSONVILLE
FL FLORIDA
32246 US
BROWN BROTHERS HARRIMAN & CO.    140 BROADWAY
ATTN: CORPORATE ACTIONS VAULT
NEW YORK
NY NEW YORK
10005 US
      BROWN BROTHERS HARRIMAN & CO./ETF    140 BROADWAY
NEW YORK
NY NEW YORK
10005
CALDWELL SECURITIES LTD./CDS**    55 UNIVERSITY AVENUE
SUITE 340
TORONTO
ON ONTARIO
M5J 2H7 CANADA
      CANACCORD GENUITY CORP.    609 GRANVILLE ST
VANCOUVER
BC BRITISH COLUMBIA
V7Y 1H2 CA CANADA

 

5


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

CANTOR, FITZGERALD & CO.    135 E 57TH ST 5TH FL
NEW YORK
NY NEW YORK
10041 US
      CDS CLEARING AND DEPOSITORY SERVICES INC.    100 ADELAIDE STREET WEST
TORONTO
ON ONTARIO
M5H 1S3 CA CANADA
CETERA INVESTMENT SERVICES LLC    400 FIRST STREET SOUTH, SUITE 300
SUITE 300
ST. CLOUD
MN MINNESOTA
56302-0283 US
      CHARLES SCHWAB & CO., INC.    211 MAIN STREET
SAN FRANCISCO
CA CALIFORNIA
94105 US
CI INVESTMENT SERVICES INC.    199 BAY STREET
SUITE 2600
TORONTO
ON ONTARIO
M5L 1E2 CA CANADA
      CIBC WORLD MARKETS INC./CDS**    161 BAY STREET 10 FL
TORONTO
ON ONTARIO
M5J 2S8 CA CANADA
CITIBANK, N.A./ETF    3800 CITIGROUP CENTER
B2/2
TAMPA
FL FLORIDA
33610
      CITIBANK, NATIONAL ASSOCIATION    3800 CITIBANK CENTER TAMPA
BLDG.B FIRST FLOOR ZONE 8
TAMPA
FL FLORIDA
33610-9122 US
CITIGROUP GLOBAL MARKETS, INC.    580 CROSSPOINT PARKWAY
GETZVILLE
NY NEW YORK
14068 US
      CLEAR STREET LLC    4 World Trade Center, 45th Floor
150 Greenwich Street
NEW YORK
NY NEW YORK
10007
CLEARSTREET IO    55 BROADWAY (SUITE 2102)
CORPORATE ACTIONS
NEW YORK
NEW YORK
10006 US
      COMMERCE BANK    922 WALNUT STREET
MAIL STOP TBTS-2
KANSAS CITY
MO MISSOURI
64106 US
COR CLEARING LLC    9300 UNDERWOOD AVE
SUITE 400
      Credential Securities Inc.    800-1111 WEST GEORGIA STREET
VANCOUVER

 

6


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

   OMAHA
NE NEBRASKA
68114 US
         BC BRITISH COLUMBIA
V6E 4T6 CA CANADA
CREST INTERNATIONAL NOMINEES LIMITED    33 CANNON STREET
LONDON
EC4M 5SB GB UNITED KINGDO
      CURVATURE SECURITIES, LLC    39 MAIN STREET
CHATHAM
NJ NEW JERSEY
07928 US
D.A. DAVIDSON & CO.    8 3RD STREET NORTH
GREAT FALLS
MT MONTANA
59401 US
      DEPOSITO CENTRAL DE VALORES S.A., DEPOSITO DE VALORES    AVENIDA APOQUINDO # 4001
FLOOR 12, C.P.
7550162, SANTIAGO
CL CHILE
DESJARDINS SECURITIES INC.    1253 McGill College
10TH FLOOR
MONTREAL
QUEBEC
H3B 2Y5 CA CANADA
      DEUTSCHE BANK AG NY/US CUSTODY    1251 Avenue Of The Americas
NEW YORK
NY NEW YORK
10020
DEUTSCHE BANK SECURITIES INC.    60 WALL STREET
9TH FLOOR
NEW YORK
NY NEW YORK
10005 US
      DRIVEWEALTH, LLC    15 EXCHANGE PLACE
10TH FLOOR
JERSEY CITY
NEW JERSEY
07302
E*TRADE CLEARING LLC    HARBORSIDE FINANCIAL CENTER
501 PLAZA 11
JERSEY CITY
NJ NEW JERSEY
07311 US
      EDWARD D. JONES & CO., L.P.    12555 MANCHESTER ROAD
ST. LOUIS
MO MISSOURI
63131-3729 US
EDWARD D. JONES & CO., L.P.    201 PROGRESS PARKWAY
MARYLAND HEIGHTS
MO MISSOURI
63043 US
      FIDELITY CLEARING CANADA ULC/CDS**    483 BAY ST.
SOUTH TOWER
TORONTO
ON ONTARIO
M5G2N7 CA CANADA

 

7


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

FIFTH THIRD BANK    5001 KINGSLEY DRIVE
MAIL DROP 1MOB28
CINCINNATI
OH OHIO
45227 US
      FOLIO INVESTMENTS, INC.    8180 GREENSBORO DRIVE
8TH FLOOR
MCLEAN
VA VIRGINIA
22102 US
FUTU CLEARING INC.    12750 Merit Drive
SUITE 475
DALLAS
TX TEXAS
75251
      GMP SECURITIES L.P.    145 KING STREET WEST, SUITE 300
11TH FLOOR
TORONTO
ON ONTARIO
MJ5 1J8 CA CANADA
GOLDMAN, SACHS & CO. LLC    222 SOUTH MAIN STREET
Attn: Mandatory Corporate Actions
SALT LAKE CITY
UT UTAH
84101 US
      HAYWOOD SECURITIES INC./CDS**    200 BURRARD ST
WATERFRONT CENTRE SUITE 700
VANCOUVER
BC BRITISH COLUMBIA
V6C 3L6 CANADA
HILLTOP SECURITIES INC.    1201 ELM ST.
35TH FLOOR
DALLAS
TX TEXAS
75270 US
      HRT FINANCIAL LLC    150 GREENWICH STREET (ATTN: SETTLEMENT) FOUR WORLD TRADE CENTER
57TH FLOOR
NEW YORK
NY NEW YORK
10007 US
HSBC BANK USA, NA/HSBC CUSTODY & CLEARING SERVICES FOR STOCK LOAN    452 FIFTH AVENUE
ATTN: HBUS CCS SETTS
NEW YORK
NY NEW YORK
10018 US
      HSBC BANK USA, NATIONAL ASSOCIATION    452 FIFTH AVENUE
ATTN: HBUS CCS SETTS
NEW YORK
NEW YORK
10018 US
INTERACTIVE BROKERS LLC    2 PICKWICK PLAZA
2ND FLOOR
GREENWICH
CT CONNECTICUT
06830 US
      J.P. MORGAN CHASE BANK NA/FBO BLACKROCK CTF    1111 POLARIS PARKWAY
COLUMBUS
OH OHIO
43240

 

8


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

J.P. MORGAN CLEARING CORP.    FOUR CHASE METROTECH CENTER
3RD FLOOR
BROOKLYN
NY NEW YORK
11201 US
      JANNEY MONTGOMERY SCOTT LLC    1717 ARCH STREET
17TH FLOOR
PHILADELPHIA
PA PENNSYLVANIA
19103 US
JEFFERIES LLC    101 HUDSON STREET,
11th Floor
NEW JERSEY
NJ NEW JERSEY
07302 US
      JPMORGAN CHASE BANK, NATIONAL ASSOCIATION    FOUR CHASE METROTECH CENTER
3RD FLOOR
BROOKLYN
NY NEW YORK
11201 US
JPMORGAN CHASE BANK/EUROCLEAR BANK    FOUR CHASE METROTECH CENTER
3RD FLOOR
BROOKLYN
NY NEW YORK
11245 US
      JPMORGAN CHASE BANK/IA    FOUR CHASE METROTECH CENTER
3RD FLOOR
BROOKLYN
NY NEW YORK
11201 US
KEYBANK NATIONAL ASSOCIATION    4900 TIEDEMAN RD
BROOKLYN
OH OHIO
44144 US
      LAURENTIAN BANK SECURITIES INC.    1981 MCGILL COLLEGE AVE.
SUITE 100
MONTREAL
QUEBEC
H3A 3K3 CA CANADA
LPL FINANCIAL LLC    4707 EXECUTIVE DRIVE
SAN DIEGO
CA CALIFORNIA
92121 US
      MANUFACTURERS AND TRADERS TRUST COMPANY    ONE M&T PLAZA
TRUST OPS 8TH FLOOR
BUFFALO
NY NEW YORK
14203 US
MANULIFE SECURITIES INCORPORATED    1235 NORTH SERVICE ROAD WEST
OAKVILLE
ON ONTARIO
L6M 2W2 CA CANADA
      MARSCO INVESTMENT CORPORATION    101 EISENHOWER PARKWAY
ROSELAND
NJ NEW JERSEY
07068 US
MERRILL LYNCH, PIERCE, FENNER &    4804 Deer Lake Drive East
FL9-803-04-04- 4th floor
JACKSONVILLE
      MIRAE ASSET SECURITIES (USA) INC./STOCK    810 SEVENTH AVE
37TH FLOOR
NEW YORK

 

9


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

SMITH INCORPORATED    FL FLORIDA
32246 US
      LOAN CONDUIT ACCOUNT    NY NEW YORK
10019
MIRAE ASSET SECURITIES (USA), INC.    810 SEVENTH AVE
37TH FLOOR
NEW YORK
NY NEW YORK
10019
      MITSUBISHI UFJ TRUST & BANKING CORPORATION, NEW YORK BRANCH    280 PARK AVE
39TH FL-WEST BLDG
NEW YORK
NY NEW YORK
10017
Morgan Stanley    1300 THAMES STREET
THAMES STREET WHARF
BALTIMORE
MD MARYLAND
21231 US
      MORGAN STANLEY & CO. LLC    1300 THAMES ST.
BALTIMORE
MD MARYLAND
MORGAN STANLEY SMITH BARNEY LLC    1 NEW YORK PLAZA
39TH FLOOR
NEW YORK
NY NEW YORK
10004 US
      MURIEL SIEBERT & CO., INC.    77 SUMMER STREET
3RD FLOOR
BOSTON
MA MASSACHUSETTS
02210 US
NATIONAL FINANCIAL SERVICES LLC    499 WASHINGTON BOULEVARD
5TH FLOOR
JERSEY CITY
NJ NEW JERSEY
07310 US
      NBCN INC.    1010 rue De La Gauchetière
Mezzanine 100
MONTREAL
QUEBEC
H3B 5J2 CA CANADA
NOMURA INTERNATIONAL TRUST COMPANY    309 WEST 49TH STREET
10TH FLOOR
NEW YORK
NY NEW YORK
10019 US
      ODLUM BROWN LIMITED    250 HOWE STREET
SUITE 1100
VANCOUVER
BC BRITISH COLUMBIA
V6C 3R8 CA CANADA
OPPENHEIMER & CO. INC.    85 BROAD STREET
NEW YORK
NY NEW YORK
10004 US
      PERSHING LLC    1 PERSHING PLAZA
JERSEY CITY
NJ NEW JERSEY
07399 US

 

10


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

PHILLIP CAPITAL INC.    141 W. JACKSON BLVD. SUITE 3050
CHICAGO
IL ILLINOIS
60604 US
      PI FINANCIAL CORP.    666 BURRARD ST
SUITE 1900
VANCOUVER
BC BRITISH COLUMBIA
V6C 3N1 CA CANADA
PNC BANK, NATIONAL ASSOCIATION    4100 W 150TH STREET
ASSET MOVEMENT TEAM 3RD FL, LOCATOR B7-YB17-03-03
CLEVELAND
OH OHIO
44135 US
      PRINCIPAL BANK    711 HIGH STREET
DES MOINES
IA IOWA
50392
QUESTRADE INC./CDS**    5650 YONGE ST.,
Suite 1700
TORONTO
ON ONTARIO
M2M 4G3 CA CANADA
      Raymond James & Associates, Inc.    880 CARILLON PKWY
ST. PETERSBURG
FL FLORIDA
33733-2749 US
RAYMOND JAMES LTD.    925 WEST GEORGIA STREET
SUITE 2200
VANCOUVER
BC BRITISH COLUMBIA
V6C 3L2 CA CANADA
      RBC CAPITAL MARKETS, LLC    60 SOUTH 6TH ST.
MINNEAPOLIS
MN MINNESOTA
55402 US
RBC DOMINION SECURITIES INC    21 COMMERCE COURT SOUTH
2ND FLOOR
TORONTO
ON ONTARIO
M5L 1A7 CANADA
      RELIANCE TRUST COMPANY    1100 ABERNATHY RD.
500 NORTHPARK SUITE 400
ATLANTA
GA GEORGIA
30113 US
RELIANCE TRUST COMPANY    4900 W. BROWN DEER RD
MILWAUKEE
WI WISCONSIN
53223 US
      ROBERT W. BAIRD & CO. INCORPORATED    777 E WISCONSIN AVE
9TH FLOOR
MILWAUKEE
WI WISCONSIN
53202 US

 

11


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

ROBINHOOD SECURITIES, LLC    500 COLONIAL CENTER PARKWAY
SUITE 100
LAKE MARY
FL FLORIDA
32746 US
      SAFRA SECURITIES LLC    546 5TH AVENUE
NEW YORK
NY NEW YORK
10036 US
SCOTIA CAPITAL (USA) INC.    150 KING STREET W
5TH FLOOR
TORONTO
ON ONTARIO
M5H 1J9 CA CANADA
      SEI PRIVATE TRUST COMPANY    1 FREEDOM VALLEY DRIVE
OAKS
PA PENNSYLVANIA
19456 US
SEI PRIVATE TRUST COMPANY    1 FREEDOM VALLEY DRIVE
OAKS
PA PENNSYLVANIA
19456 US
      SG AMERICAS SECURITIES, LLC    480 WASHINGTON BLVD.
20TH FLOOR
JERSEY CITY
NJ NEW JERSEY
07310 US
SSB - BLACKROCK INSTITUTIONAL TRUST    50 California Street
San Francisco
CA CALIFORNIA
94163
      SSB - TRUST CUSTODY    30 ADELAIDE ST EAST
SUITE 800
TORONTO
ON ONTARIO
M5C 3G6 CA CANADA
SSB&T CO/CLIENT CUSTODY SERVICES    1776 HERITAGE DRIVE
NORTH QUINCY
MA MASSACHUSETTS
02171
      STATE STREET BANK & TRUST CO    16 WALL STREET
5TH FLOOR
NEW YORK
NY NEW YORK
10005 US
STATE STREET BANK & TRUST COMPANY / ISHARES EUROPE    1776 HERITAGE DRIVE
NORTH QUINCY
MA MASSACHUSETTS
02171
      STATE STREET BANK & TRUST/STATE STREET TOTALETF    1776 Heritage Drive
NORTH QUINCY
MA MASSACHUSETTS
02717
STATE STREET BANK AND TRUST COMPANY    30 ADELAIDE ST EAST
SUITE 800
TORONTO
ON ONTARIO
M5C 3G6 CA CANADA
      STIFEL, NICOLAUS & COMPANY, INCORPORATED    501 N BROADWAY
ST. LOUIS
MO MISSOURI
63102 US

 

12


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

STONEX FINANCIAL INC.    2 PERIMETER PARK SOUTH
SUITE 100 W
BIRMINGHAM
AL ALABAMA
35243 US
      TD AMERITRADE CLEARING, INC.    200 S 108TH AVE
OMAHA
NE NEBRASKA
68154 US
TD WATERHOUSE CANADA INC
ATTN: MANDATORY CORPORATE ACTIONS
   77 BLOOR STREET WEST
3RD FLOOR
TORONTO
ON ONTARIO
M5S 1M2 CA CANADA
      TEXAS TREASURY SAFEKEEPING TRUST COMPANY    208 E 10TH ST
AUSTIN
TX TEXAS
78701 US
THE BANK OF NEW YORK MELLON    500 GRANT STREET
27TH FLOOR
PITTSBURGH
PA PENNSYLVANIA
15258 US
      THE HUNTINGTON NATIONAL BANK    7 EASTON OVAL EA4E62
COLUMBUS
OH OHIO
43209 US
THE NORTHERN TRUST COMPANY    333 South Wabash Ave, 32nd Floor
Attn: Trade Securities Processing
CHICAGO
IL ILLINOIS
60603 US
      TRADESTATION SECURITIES, INC.    120 RIVERSIDE PLAZA
SUITE 1650
CHICAGO
IL ILLINOIS
60606 US
U.S. BANCORP INVESTMENTS, INC.    60 LIVINGSTON AVE
EP-MN-WN1B
ST. PAUL
MN MINNESOTA
55107-1419 US
      U.S. BANK N.A./ETF    1555 N RIVER CENTER DRIVE
MILWAUKEE
WI WISCONSIN
53212
U.S. BANK NATIONAL ASSOCIATION    1555 NORTH RIVERCENTER DRIVE, SUITE 302
SUITE 302
MILWAUKEE
WI WISCONSIN
53212 US
      UBS AG    480 WASHINGTON BLVD.
12TH FLOOR
JERSEY CITY
NJ NEW JERSEY
07310 US

 

13


LOGO

 

sorrentotherapeutics.com

 

4955 Directors Place

San Diego, CA 92121

   LOGO

 

Broker Name

  

Broker Address

       

Broker Name

  

Broker Address

UBS FINANCIAL SERVICES INC.    1000 HARBOR BOULEVARD
WEEHAWKEN
NJ NEW JERSEY
07086 US
      UBS SECURITIES LLC    677 WASHINGTON BLVD
STAMFORD
CT CONNECTICUT
06901 US
UMB BANK, NATIONAL ASSOCIATION    928 GRAND BLVD
KANSAS CITY
MO MISSOURI
64106 US
      VANGUARD MARKETING CORPORATION    100 VANGUARD BLVD
MALVERN
PA PENNSYLVANIA
19355 US
VELOCITY CLEARING, LLC    1301 Route 36
Suite 109 (Attn: Chris Felicetti)
HAZLET
NEW JERSEY
7730 US
      VELOX CLEARING LLC    2400 E. KATELLA AVENUE
SUITE 725A
ANAHEIM
CA CALIFORNIA
92806 US
VIRTU AMERICAS LLC    ONE LIBERTY PLAZA, 165 BROADWAY
5TH FLOOR
NEW YORK
NY NEW YORK
10006 US
      VISION FINANCIAL MARKETS LLC    4 HIGH RIDGE PARK
SUITE 100
STAMFORD
CT CONNECTICUT
06905 US
WEDBUSH SECURITIES INC    1000 WILSHIRE BLVD
8TH FLOOR
LOS ANGELES
CA CALIFORNIA
90017 US
      WEDBUSH SECURITIES INC.    1000 WILSHIRE BLVD.
LOS ANGELES
CA CALIFORNIA
90017 US
WELLS FARGO BANK, N.A./SIG    733 MARQUETTE AVE 4TH FLOOR
MAC N9306-04D
MINNEAPOLIS
MN MINNESOTA
55402 US
      WELLS FARGO CLEARING SERVICES LLC    1 NORTH JEFFERSON
MAIL CODE: H0006-094
ST. LOUIS
MO MISSOURI
63103 US
WELLS FARGO SECURITIES, LLC    1525 WEST W T HARRIS BLVD
CHARLOTTE
NC NORTH CAROLINA
28262 US
      WILSON-DAVIS & CO., INC.    236 SOUTH MAIN STREET
SALT LAKE CITY
UT UTAH
84101 US

 

14