| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SCLX | Common Stock | Purchase | $8.35K | +8.89K | +2.86% | $0.94 | 320K | Oct 31, 2024 | Direct | F1 |
| holding | SCLX | Common Stock | 60.1K | Oct 31, 2024 | By BioVintage, Inc. | ||||||
| holding | SCLX | Common Stock | 2.75K | Oct 31, 2024 | By BioVintage, Inc. | F2, F3 | |||||
| holding | SCLX | Common Stock | 292K | Oct 31, 2024 | See Footnote | F4 | |||||
| holding | SCLX | Common Stock | 5.64K | Oct 31, 2024 | By Spouse |
| Id | Content |
|---|---|
| F1 | Open market purchase by the reporting person of 8,888 shares of common stock, par value $0.0001 per share (the "Common Stock"). |
| F2 | On December 30, 2022, the Board of Directors of Sorrento Therapeutics, Inc. ("Sorrento") declared a stock dividend (the "Dividend") to all holders of record of its common stock as of the close of business on January 9, 2023, of 0.1410127 of a share of Common Stock for each one share of common stock, par value $0.0001 per share, of Sorrento ("Sorrento Common Stock"). The Reporting Person wrote a put option in Sorrento Common Stock on August 26, 2022 (the "Put Option"), which was adjusted as a result of the Stock Dividend to relate to an aggregate of 19,500 shares of Sorrento Common Stock and 2,749 shares of Common Stock and to reflect a corresponding change to the exercise price of the Put Option to $0.80268 per share of Sorrento Common Stock and $8.6002 per share of Common Stock. |
| F3 | The Put Option settled on March 17, 2023 and resulted in the Reporting Person becoming entitled to receive 2,749 shares of Common Stock at a price of $8.6002 per share of Common Stock, upon the expiration of the lock-up on such shares which is currently set to expire on January 31, 2025. |
| F4 | Shares are held in family trusts of which the Reporting Person is a co-trustee with his spouse. |