0001209191-16-107197.txt : 20160308
0001209191-16-107197.hdr.sgml : 20160308
20160308204704
ACCESSION NUMBER: 0001209191-16-107197
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160304
FILED AS OF DATE: 20160308
DATE AS OF CHANGE: 20160308
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sorrento Therapeutics, Inc.
CENTRAL INDEX KEY: 0000850261
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731]
IRS NUMBER: 330344842
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 9380 JUDICIAL DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: 858-210-3700
MAIL ADDRESS:
STREET 1: 9380 JUDICIAL DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
FORMER COMPANY:
FORMER CONFORMED NAME: QUIKBYTE SOFTWARE INC
DATE OF NAME CHANGE: 19920703
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: 001-36150
FILM NUMBER: 161493158
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: 001-36150
FILM NUMBER: 161493159
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: Chan Soon-Shiong Family Foundation
CENTRAL INDEX KEY: 0001668335
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36150
FILM NUMBER: 161493160
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: 001-36150
FILM NUMBER: 161493161
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
2016-03-04
0
0000850261
Sorrento Therapeutics, Inc.
SRNE
0001189020
SOON-SHIONG PATRICK
9922 JEFFERSON BOULEVARD
CULVER CITY
CA
90232
0
0
1
0
0001668335
Chan Soon-Shiong Family Foundation
9922 JEFFERSON BOULEVARD
CULVER CITY
CA
90232
0
0
1
0
0001629222
Cambridge Equities, LP
9922 JEFFERSON BOULEVARD
CULVER CITY
CA
90232
0
0
0
1
Reporting group member
0001629186
MP 13 Ventures, LLC
9922 JEFFERSON BOULEVARD
CULVER CITY
CA
90232
0
0
1
0
Common Stock
2016-03-04
4
S
0
14700
6.34
D
859238
D
Common Stock
2016-03-07
4
S
0
85300
6.17
D
773938
D
Common Stock
7188061
I
Through The Chan Soon-Shiong Family Foundation
Warrant
5.80
2014-12-22
2017-12-22
Common Stock
1724138
1724138
I
Through Cambridge Equities, LP
These shares of common stock were acquired on the open market. The price reported in Column 4 is a weighted average sale price. Dr. Patrick Soon-Shiong undertakes to provide to Sorrento Therapeutics, Inc. (the "Company"), any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were acquired.
Dr. Patrick Sooon-Shiong is the Chairman of The Chan Soon-Shiong Family Foundation.
The exercise price of the Warrant is subject to customary adjustment provisions for stock splits, stock dividends, recapitalizations and the like.
Dr. Patrick Soon-Shiong is the sole member of MP 13 Ventures, LLC, which is the general partner of Cambridge Equities, LP.
This Form 5 shall not be deemed to be an admission by any reporting person hereunder that it or he is the beneficial owner, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended (the "Exchange Act"), for purposes of Section 13 of the Exchange Act, or for any other purpose, of any of the securities reported herein. Without limiting the immediately preceding sentence, each reporting person hereunder expressly disclaims beneficial ownership, for purposes of Section 16 of the Exchange Act, of all securities reported herein, except to the extent of its or his pecuniary interest therein.
/s/ Patrick Soon-Shiong on behalf of himself and each other reporting person
2016-03-08