Henry Ji - Dec 2, 2022 Form 4 Insider Report for Sorrento Therapeutics, Inc. (SRNEQ)

Role
President, CEO and Chairman of the Board of Directors, Director
Signature
/s/ Henry Ji, Ph.D.
Stock symbol
SRNEQ
Transactions as of
Dec 2, 2022
Transactions value $
$2,750
Form type
4
Date filed
12/23/2022, 01:28 PM
Previous filing
Nov 15, 2022
Next filing
Dec 16, 2022

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 $1.1K +200 $5.50* 200 Dec 2, 2022 By BioVintage, Inc.
transaction SRNEQ Common Stock Exercise of in-the-money or at-the-money derivative security $1.65K +300 +150% $5.50* 500 Dec 21, 2022 By BioVintage, Inc.
holding SRNEQ Common Stock 6.27M Dec 2, 2022 Direct
holding SRNEQ Common Stock 2.27M Dec 2, 2022 See Footnote F1
holding SRNEQ Common Stock 40K Dec 2, 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% $0.00 198 Dec 2, 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 -1.52% $0.00 195 Dec 21, 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