0000850261-20-000039.txt : 20200615 0000850261-20-000039.hdr.sgml : 20200615 20200615180800 ACCESSION NUMBER: 0000850261-20-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200615 FILED AS OF DATE: 20200615 DATE AS OF CHANGE: 20200615 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Robin L CENTRAL INDEX KEY: 0001365035 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36150 FILM NUMBER: 20964428 MAIL ADDRESS: STREET 1: C/O PHASE III MEDICAL, INC. STREET 2: 330 SOUTH SERVICE ROAD, SUITE 120 CITY: MELVILLE STATE: NY ZIP: 11747 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sorrento Therapeutics, Inc. CENTRAL INDEX KEY: 0000850261 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 330344842 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4955 DIRECTORS PLACE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-203-4100 MAIL ADDRESS: STREET 1: 4955 DIRECTORS PLACE CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: QUIKBYTE SOFTWARE INC DATE OF NAME CHANGE: 19920703 4 1 wf-form4_159225886257619.xml FORM 4 X0306 4 2020-06-15 0 0000850261 Sorrento Therapeutics, Inc. SRNE 0001365035 Smith Robin L C/O SORRENTO THERAPEUTICS, INC. 4955 DIRECTORS PLACE SAN DIEGO CA 92121 1 0 0 0 Stock Options 4.89 2020-06-15 4 A 0 100000 0 A 2030-06-15 Common Stock 100000.0 100000 D 1/12th of the original number of shares subject to this option shall vest and become exercisable on July 15, 2020, and 1/12th of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date. /s/ Henry Ji, Ph.D., as Attorney-in-Fact 2020-06-15