1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 07/07/2016
|
3. Issuer Name and Ticker or Trading Symbol
Sorrento Therapeutics, Inc.
[ SRNE ]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
1. Name and Address of Reporting Person*
UNIT 3002-3004, 30TH FLOOR, |
GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
(Street)
Relationship of Reporting Person(s) to Issuer
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
|
|
|
ABG II-SO LIMITED By: /s/ Yeh Shan-ju Name: Yeh Shan-ju Title: Director |
07/15/2016 |
|
ALLY BRIDGE GROUP CAPITAL PARTNERS II, L.P. By: /s/ Yu Fan Name: Yu Fan Title: Chief Executive Officer and Chief Investment Officer |
07/15/2016 |
|
ALLY BRIDGE LB HEALTHCARE MASTER FUND LIMITED By: /s/ Li Bin Name: Li Bin Title: Director |
07/15/2016 |
|
ALLY BRIDGE LB MANAGEMENT LIMITED By: /s/ Li Bin Name: Li Bin Title: Director |
07/15/2016 |
|
ABG SRNE LIMITED By: /s/ Yeh Shan-ju Name: Yeh Shan-ju Title: Director |
07/15/2016 |
|
ALLY BRIDGE GROUP INNOVATION CAPITAL PARTNERS III, L.P. By: /s/ Yu Fan Name: Yu Fan Title: Chief Executive Officer and Chief Investment Officer |
07/15/2016 |
|
ABG MANAGEMENT LTD. By: /s/ Yu Fan Name: Yu Fan Title: Director |
07/15/2016 |
|
Yu Fan /s/ Yu Fan |
07/15/2016 |
|
Li Bin /s/ Li Bin |
07/15/2016 |
|
** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |