| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NHIQ | Common Stock | Purchase | $6,000,000 | +15,384,616 | $0.3900 | 15,384,616 | 28 Aug 2023 | See Footnote | F1, F2 | |
| transaction | NHIQ | Common Stock | Purchase | $9,999,975 | +537,272 | +3.5% | $18.61* | 15,921,888 | 28 Aug 2023 | See Footnote | F1, F2, F3 |
| holding | NHIQ | Common Stock | 4,453,507 | 28 Aug 2023 | See Footnote | F4, F5 |
| Id | Content |
|---|---|
| F1 | Shares of common stock, par value $0.0001 per share ("Common Stock"), acquired from the issuer pursuant to a Stock Purchase Agreement (the "Purchase Agreement"), dated as of August 28, 2023, by and between the issuer and certain institutional and accredited investors, each as listed as signatories to the Purchase Agreement. |
| F2 | Shares held by Nant Capital, LLC ("Nant Capital"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and CalCap may be deemed to have beneficial ownership of the shares held by Nant Capital. Patrick Soon-Shiong directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap. |
| F3 | $10,000,000 aggregate principal amount of the demand promissory note, dated January 4, 2016, as amended and restated on May 9, 2016 and April 27, 2021, respectively, by and between the issuer and Nant Capital (the "Subordinated Nant Capital Promissory Note"), were exchanged for shares of Common Stock in accordance with the terms and conditions of the Subordinated Nant Capital Promissory Note. |
| F4 | Includes (i) 4,147,469 shares of our common stock held by NantWorks, LLC; (ii) 193,426 shares of our common stock held by NantOmics, LLC; and (iii) 112,612 shares of our common stock held by Cambridge Equities, LP. NantWorks, LLC is the largest member of NantOmics, LLC, holding approximately 84% of the outstanding equity and approximately 99% of the outstanding voting equity. Dr. Patrick Soon-Shiong, is the controlling member of NantWorks, LLC with voting and dispositive power over the shares of the stock held by NantWorks, LLC. Dr. Patrick Soon-Shiong, indirectly owns all of the equity interests in NantWorks, LLC and Cambridge Equities, LP, and has voting and dispositive powers over the shares. |
| F5 | On December 15, 2022, the issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split") of its outstanding shares of Common Stock. The numbers of shares of Common Stock reported on this Form 4 have been adjusted to reflect the Reverse Split unless otherwise noted. |