Henry Ji - 02 Dec 2022 Form 4 Insider Report for Sorrento Therapeutics, Inc.

Role
President, CEO and Chairman of the Board of Directors, Director
Signature
/s/ Henry Ji, Ph.D.
Issuer symbol
N/A
Transactions as of
02 Dec 2022
Net transactions value
+$2,750
Form type
4
Filing time
23 Dec 2022, 13:28:10 UTC
Previous filing
15 Nov 2022
Next filing
16 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SRNEQ Common Stock Exercise of in-the-money or at-the-money derivative security $1,100 +200 $5.50* 200 02 Dec 2022 By BioVintage, Inc.
transaction SRNEQ Common Stock Exercise of in-the-money or at-the-money derivative security $1,650 +300 +150% $5.50* 500 21 Dec 2022 By BioVintage, Inc.
holding SRNEQ Common Stock 6,265,805 02 Dec 2022 Direct
holding SRNEQ Common Stock 2,271,693 02 Dec 2022 See Footnote F1
holding SRNEQ Common Stock 40,000 02 Dec 2022 By spouse

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SRNEQ Put Option (obligation to buy) Exercise of in-the-money or at-the-money derivative security $0 -2 -1% $0.000000 198 02 Dec 2022 Common Stock 200 $5.50 By BioVintage, Inc.
transaction SRNEQ Put Option (obligation to buy) Exercise of in-the-money or at-the-money derivative security $0 -3 -1.5% $0.000000 195 21 Dec 2022 Common Stock 300 $5.50 By BioVintage, Inc.
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares are held in family trusts of which the Reporting Person is a co-trustee with his spouse.

Remarks:

President, CEO and Chairman of the Board of Directors