0001209191-21-054841.txt : 20210903 0001209191-21-054841.hdr.sgml : 20210903 20210903173654 ACCESSION NUMBER: 0001209191-21-054841 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210903 FILED AS OF DATE: 20210903 DATE AS OF CHANGE: 20210903 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: 211237596 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 doc4.xml FORM 4 SUBMISSION X0306 4 2021-09-03 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 Common Stock 2021-09-03 4 M 0 75000 3.95 A 135000 D Common Stock 2021-09-03 4 M 0 100000 4.89 A 235000 D Stock Options 3.95 2021-09-03 4 M 0 75000 0.00 D 2029-12-16 Common Stock 75000 0 D Stock Options 4.89 2021-09-03 4 M 0 100000 0.00 D 2030-06-15 Common Stock 100000 0 D 1/12 of the original number of shares subject to this option vested and became exercisable on January 16, 2020 and 1/12 of the original number of shares subject to the option vested following each one month of service thereafter. 1/12 of the original number of shares subject to this option vested and became exercisable on July 15, 2020 and 1/12 of the original number of shares subject to the option vested following each one month of service thereafter. /s/ Henry Ji, Ph.D., as Attorney-in-Fact 2021-09-03