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