Sale
SORRENTO THERAPEUTICS, INC. 10 percent owner 10 percent owner
Class A Common Stock 6,307,158 $1.5 $9,460,737 Sale
SORRENTO THERAPEUTICS, INC. 10 percent owner 10 percent owner
Class A Common Stock 9,064,539 $1.5 $13,596,809 Sale
SORRENTO THERAPEUTICS, INC. 10 percent owner 10 percent owner
Common Stock 60,068,585 $10 $600,685,850 Sale
SORRENTO THERAPEUTICS, INC. 10 percent owner 10 percent owner
Warrants to Purchase Common Stock 4,490,617 $11.5 $51,642,096 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Call Option (right to buy) 129 $12 $1,548 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Call Option (right to buy) 759 $12 $9,108 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Common Stock 88,888 $2.02 $179,376 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Common Stock 55,555 $1.96 $108,888 Sale
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Put Option (obligation to buy) 200 $5.5 $1,100 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Common Stock 33,333 $2.11 $70,333 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Call Option (right to buy) 1,000 $15 $15,000 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Common Stock 22,222 $2.06 $45,777 Purchase
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Common Stock 10,000 $1.4 $14,000 Option
JANDA KIM director director
Non-qualified stock option 3,000 $4 $12,000 Sale
JANDA KIM director director
Common Stock 3,000 $5.88 $17,640 Option
JANDA KIM director director
Common Stock 3,000 $4 $12,000 Option
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Non-qualified stock options 10,000 $4 $40,000 Option
JI HENRY director, officer: President, CEO and Chairman of.. director, officer: President, C..
Common Stock 10,000 $4 $40,000 Option
JANDA KIM director director
Stock Options 42,357 $2.69 $113,729 Sale
JANDA KIM director director
Common Stock 42,357 $8.02 $339,703 Option
JANDA KIM director director
Common Stock 42,357 $2.69 $113,729 Option
JANDA KIM director director
Non-qualified stock option 8,000 $3.5 $28,000 Sale
JANDA KIM director director
Common Stock 8,000 $8.04 $64,288 Option
JANDA KIM director director
Common Stock 8,000 $3.5 $28,000 Option
SMITH ROBIN L director director
Common Stock 175,000 $4.42 $773,500 Option
SMITH ROBIN L director director
Stock Options 75,000 $3.95 $296,250 Option
JANDA KIM director director
Common Stock 1,900 $3.5 $6,650 Sale
JANDA KIM director director
Common Stock 1,900 $3.5 $6,650 Option
JANDA KIM director director
Non-qualified stock option 1,900 N/A N/A Sale
FOLLOWWILL DORMAN director director
Common Stock 1,000 N/A N/A Purchase
SMITH ROBIN L director director
Common Stock 40,000 $2.27 $90,880 Sale
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 107,814 $4.96 $534,865 Sale
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 189,754 N/A N/A Option
JI HENRY director, officer: See Remarks director, officer: See Remarks
Common Stock 6,000 $1.75 $10,500 Option
JI HENRY director, officer: See Remarks director, officer: See Remarks
Common Stock 12,000 $1.75 $21,000 Purchase
JI HENRY director, officer: See Remarks director, officer: See Remarks
Common Stock 64,600 $9.95 $642,770 Purchase
NG GEORGE K officer: See Remarks officer: See Remarks
Common Stock 90,000 N/A N/A Sale
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 150,000 $7.19 $1,078,050 Sale
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 512,912 N/A N/A Sale
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 70,721 $8 $566,051 Sale
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 235,156 N/A N/A Sale
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 74,844 $5.07 $379,534 Sale
ASIA PACIFIC MEDTECH (BVI) LTD 10 percent owner 10 percent owner
Common Stock 577,962 N/A N/A Sale
ASIA PACIFIC MEDTECH (BVI) LTD 10 percent owner 10 percent owner
Common Stock 106,326 N/A N/A Purchase
JI HENRY director, officer: See Remarks director, officer: See Remarks
Common Stock 1,801,801 N/A N/A Purchase
JI HENRY director, officer: See Remarks director, officer: See Remarks
Common Stock Warrant (right to buy) 261,438 N/A N/A Purchase
JI HENRY director, officer: See Remarks director, officer: See Remarks
Common Stock 29,001 N/A N/A Purchase
SHAH JAISIM director director
Common Stock 10,002 N/A N/A Purchase
JI HENRY director, officer: See Remarks director, officer: See Remarks
Common Stock 100,000 N/A N/A Purchase
ABG MANAGEMENT LTD 10 percent owner 10 percent owner
Common Stock 550,000 N/A N/A