Form 4 for IBRX ImmunityBio, Inc.
Accepted 2022-12-14 00:00:00 ET · period of report 2022-12-12 · accession 0001326110-22-000089 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-12-14 | 2022-12-12 | IBRX | MP 13 Ventures, LLC | 10% | C - Cnv Deriv | $5.67 | +9.99M | 9.99M | New | +$56.63M |
| DI | 2022-12-14 | 2022-12-12 | IBRX | MP 13 Ventures, LLC | 10% | C - Cnv Deriv | — | 0 | 0 | New | — |
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 | 2022-12-12 | C | A | 9,986,920 | $5.67 | 9,986,920 | I See footnote | — | — | (F1) Shares held by NantWorks, LLC ("NantWorks"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks. |
| 2 | Derivative | Second Amended and Restated Convertible Promissory Note | 2022-12-12 | C | D | — | $0.00 | 0 | I See footnote | $5.67 · 2022-08-31 to 2025-09-30 | — Common Stock | (F7) On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gave the lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under the note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. On December 12, 2022, the lender converted $56,625,841.51 in outstanding principal and accrued unpaid interest into 9,986,920 shares of the Issuer's common stock at a price of $5.67 per share. (F9) Second Amended and Restated Convertible Promissory Note held by NantWorks. CalCap directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks. |