Amended Statement of Ownership (sc 13g/a)
February 13 2017 - 6:20AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
NANTKWEST,
INC.
(Name of Issuer)
Common Stock, $0.0001 par value
(Title of Class of Securities)
63016Q 102
(CUSIP
Number)
December 31, 2016
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒
Rule 13d-1(d)
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
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The information required in the remainder of this cover page shall not be
deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
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CUSIP No. 63016Q 102
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Page 2 of 5 Pages
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1
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N
AMES
OF
R
EPORTING
P
ERSONS
Sorrento Therapeutics, Inc.
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2
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C
HECK
THE
A
PPROPRIATE
B
OX
IF
A
M
EMBER
OF
A
G
ROUP
(S
EE
I
NSTRUCTIONS
)
(A) ☐ (B) ☐
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3
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SEC U
SE
O
NLY
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4
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C
ITIZENSHIP
OR
P
LACE
OF
O
RGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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S
OLE
V
OTING
P
OWER
0
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6
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S
HARED
V
OTING
P
OWER
0
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7
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S
OLE
D
ISPOSITIVE
P
OWER
0
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8
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S
HARED
D
ISPOSITIVE
P
OWER
0
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9
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A
GGREGATE
A
MOUNT
B
ENEFICIALLY
O
WNED
BY
E
ACH
R
EPORTING
P
ERSON
0
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10
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C
HECK
IF
THE
A
GGREGATE
A
MOUNT
IN
R
OW
(9) E
XCLUDES
C
ERTAIN
S
HARES
(S
EE
I
NSTRUCTIONS
)
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11
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P
ERCENT
OF
C
LASS
R
EPRESENTED
BY
A
MOUNT
IN
R
OW
(9)
0%
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12
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T
YPE
OF
R
EPORTING
P
ERSON
(S
EE
I
NSTRUCTIONS
)
CO
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Item 1.
NantKwest, Inc.
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(b)
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Address of Issuers Principal Executive Offices
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3530 John Hopkins Court
San Diego, California 92121
Item 2.
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(a)
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Name of Person Filing
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Sorrento Therapeutics, Inc. (the Reporting Person)
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(b)
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Address of Principal Business office or, if None, Residence
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9380 Judicial Drive
San Diego, CA 92121
The Reporting Person is a corporation organized under the laws of the State of
Delaware.
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(d)
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Title of Class of Securities
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Common Stock, $0.0001 par value
63016Q 102
Item 3.
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If this statement is filed pursuant to §§
240.13d-1(b)
or
240.13d-2(b)
or (c), check whether the person filing is a:
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(a)
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☐
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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☐
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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☐
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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☐
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C
80a-8);
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(e)
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☐
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An investment adviser in accordance with §
240.13d-1(b)(1)(ii)(E);
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(f)
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☐
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An employee benefit plan or endowment fund in accordance with §
240.13d-1(b)(1)(ii)(F);
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(g)
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☐
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A parent holding company or control person in accordance with §
240.13d-1(b)(1)(ii)(G);
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(h)
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☐
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C.
80a-3);
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(j)
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☐
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A
non-U.S.
institution in accordance with §
240.13d-1(b)(1)(ii)(J);
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(k)
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☐
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Group, in accordance with §
240.13d-1(b)(1)(ii)(K).
If filing as a
non-U.S.
institution in accordance with §
240.13d-1(b)(1)(ii)(J),
please specify the type of institution:
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(a)
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Amount beneficially owned:
0
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote:
0
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(ii)
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Shared power to vote or to direct the vote: 0
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(iii)
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Sole power to dispose or to direct the disposition of:
0
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(iv)
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Shared power to dispose or to direct the disposition of: 0
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to
report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ☒
Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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N/A
Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
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N/A
Item 8.
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Identification and Classification of Members of the Group.
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N/A
Item 9.
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Notice of Dissolution of Group.
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N/A
N/A
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 10, 2017
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Sorrento Therapeutics, Inc.
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By:
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/s/ Henry Ji, Ph.D.
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Name: Henry Ji, Ph.D.
Title: President and
Chief Executive Officer
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