Form 4 for IBRX ImmunityBio, Inc.
Accepted 2021-09-13 00:00:00 ET · period of report 2021-09-09 · accession 0001209191-21-055785 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-09-13 | 2021-09-09 | IBRX | Adcock Richard | CEO, Dir | M - OptEx | $0.00 | +8,620 | 90.4K | +11% | $0 |
| D | 2021-09-13 | 2021-09-09 | IBRX | Adcock Richard | CEO, Dir | F - Tax | $9.95 | -4,273 | 86.2K | -5% | -$42.5K |
| D | 2021-09-13 | 2021-09-09 | IBRX | Adcock Richard | CEO, Dir | M - OptEx | $0.00 | -8,620 | 163.8K | -5% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-09 | M | A | 8,620 | $0.00 | 90,449 | D | — | — | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. common stock. |
| 2 | Common | Common Stock | 2021-09-09 | F | D | 4,273 | $9.95 | 86,176 | D | — | — | |
| 3 | Derivative | Restricted Stock Units | 2021-09-09 | M | D | 8,620 | $0.00 | 163,800 | D | — · — to — | 8,620 Common Stock | (F1) Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. common stock. (F2) Five percent (5%) of the 172,420 RSUs (rounded down to the nearest whole share) will vest on September 9, 2021; five percent (5%) of the RSUs (rounded down to the nearest whole share) will vest on the earlier of (A) December 31, 2022 and (B) the 60th day following approval by the Food and Drug Administration (FDA) of a biologics license application (BLA) or equivalent application for approval of Anktiva for use in the treatment of non-muscle invasive bladder cancer; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2023; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2024; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2025; and the remaining RSUs will vest on December 31, 2026. |