InsiderTrades

Form 4 for IBRX ImmunityBio, Inc.

Accepted 2023-09-13 00:00:00 ET · period of report 2023-09-11 · accession 0000950170-23-048020 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
DMI 2023-09-13 2023-09-11 IBRX Nant Capital, LLC 10% J - Other $1.29 +209.29M 129.23M New +$269.99M
DMI 2023-09-13 2023-09-11 IBRX Nant Capital, LLC 10% J - Other — 0 0 New —
DI 2023-09-13 2023-09-11 IBRX Nant Capital, LLC 10% P - Purchase — 0 200.00M New —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2023-09-11 J A 47,557,934 $1.29 47,557,934 I See footnote — — (F3) Shares held by NantMobile. NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantMobile and may be deemed to have beneficial ownership of the securities held by NantMobile. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantMobile.
2 Common Common Stock 2023-09-11 J A 32,606,985 $1.29 32,606,985 I See footnote — — (F4) Shares held by NCSC. NantBio, Inc. ("NantBio") is the sole stockholder and an affiliate of NCSC and may be deemed to have beneficial ownership of the securities held by NCSC. NantWorks is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the securities held by NantBio and its affiliates. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantBio and its affiliates.
3 Common Common Stock 2023-09-11 J A 129,127,017 $1.29 129,227,017 I See footnote — — (F2) Shares held by Nant Capital, an investment vehicle of the reporting person.
4 Derivative Second Amended and Restated Convertible Promissory Note 2023-09-11 J D — $0.00 0 I See footnote $5.67 · 2022-08-31 to 2025-09-30 — Common Stock (F14) Second Amended and Restated Convertible Promissory Note held by NCSC. NantBio is the sole stockholder and an affiliate of NCSC and may be deemed to have beneficial ownership of the securities held by NCSC. NantWorks is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the securities held by NantBio and its affiliates. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantBio and its affiliates.
5 Derivative Second Amended and Restated Convertible Promissory Note 2023-09-11 J D — $0.00 0 I See footnote $5.67 · 2022-08-31 to 2025-09-30 — Common Stock (F13) Second Amended and Restated Convertible Promissory Note held by NantMobile. NantWorks is the majority stockholder and an affiliate of NantMobile and may be deemed to have beneficial ownership of the securities held by NantMobile. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantMobile.
6 Derivative Second Amended and Restated Convertible Promissory Note 2023-09-11 J D — $0.00 0 I See footnote $5.67 · 2022-08-31 to 2025-09-30 — Common Stock (F12) Second Amended and Restated Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person.
7 Derivative Amended and Restated Convertible Promissory Note 2023-09-11 J D — $0.00 0 I See footnote $5.67 · 2022-08-31 to 2025-09-30 — Common Stock (F11) Amended and Restated Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person.
8 Derivative Amended and Restated Convertible Promissory Note 2023-09-11 J D — $0.00 0 I See footnote $5.67 · 2022-08-31 to 2025-09-30 — Common Stock (F11) Amended and Restated Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person.
9 Derivative Convertible Promissory Note 2023-09-11 P A — $200,000,000.00 200,000,000 I See footnote $1.94 · — to 2026-09-11 — Common Stock (F17) Convertible Promissory Note held by Nant Capital, an investment vehicle of the reporting person. (F15) That date upon which an amendment to the Issuers Certificate of Incorporation, as amended, becomes effective pursuant to which the number of authorized shares of the Issuer's common stock is increased from 900,000,000 to 1,350,000,000.