Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | IBRX | Amended and Restated Convertible Promissory Note | Purchase | $40.4M | $40.4M | Aug 31, 2022 | Common Stock | $5.67 | See footnote | F1, F2 | ||||
transaction | IBRX | Amended and Restated Convertible Promissory Note | Purchase | $55.9M | $55.9M | Aug 31, 2022 | Common Stock | $5.67 | See footnote | F1, F2 | ||||
transaction | IBRX | Second Amended and Restated Convertible Promissory Note | Purchase | $63.4M | $63.4M | Aug 31, 2022 | Common Stock | $5.67 | See footnote | F1, F3 | ||||
transaction | IBRX | Second Amended and Restated Convertible Promissory Note | Purchase | $55.8M | $55.8M | Aug 31, 2022 | Common Stock | $5.67 | See footnote | F1, F4 | ||||
transaction | IBRX | Second Amended and Restated Convertible Promissory Note | Purchase | $59.5M | $59.5M | Aug 31, 2022 | Common Stock | $5.67 | See footnote | F1, F5 | ||||
transaction | IBRX | Second Amended and Restated Convertible Promissory Note | Purchase | $40M | $40M | Aug 31, 2022 | Common Stock | $5.67 | See footnote | F1, F6 |
Id | Content |
---|---|
F1 | On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022. |
F2 | Amended and Restated Convertible Promissory Note held by NantCapital, LLC, an investment vehicle of the reporting person. |
F3 | Second Amended and Restated Convertible Promissory Note held by NantCapital, LLC, an investment vehicle of the reporting person. |
F4 | Second Amended and Restated Convertible Promissory Note 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. |
F5 | Second Amended and Restated Convertible Promissory Note held by NantMobile, LLC ("NantMobile"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantMobile and may be deemed to have beneficial ownership of the securities held by NantMobile. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantMobile. |
F6 | Second Amended and Restated Convertible Promissory Note held by NantCancerStemCell, LLC ("NantCancerStemCell"). NantBio, Inc. ("NantBio") is the majority stockholder and an affiliate of NantCancerStemCell and may be deemed to have beneficial ownership of the securities held by NantCancerStemCell. NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the securities held by NantBio and its affiliates. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantBio and its affiliates. |
Executive Chairman, Global Chief Scientific and Medical Officer