Statement of Changes in Beneficial Ownership (4)
January 13 2021 - 04:20PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Nelson Sonja |
2. Issuer Name and Ticker or Trading
Symbol NantKwest, Inc. [ NK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Financial Officer |
(Last)
(First)
(Middle)
C/O NANTKWEST, INC., 3530 JOHN HOPKINS COURT |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/12/2021
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(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
1/12/2021 |
|
M |
|
11364 |
A |
$3.07 |
31774 |
D |
|
Common Stock |
1/12/2021 |
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S(1) |
|
16364 |
D |
$15.00 |
15410 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (right to buy) |
$3.07 |
1/12/2021 |
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M |
|
|
11364 |
(2) |
8/27/2028 |
Common Stock |
11364 |
$0.00 |
165907 |
D |
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Explanation of
Responses: |
(1) |
The sale of shares reported
on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan
entered into by the reporting person on September 4,
2020. |
(2) |
Subject to the award
recipient's continuing to be a Service Provider (as defined in the
2015 Equity Incentive Plan) through each applicable vesting date,
the option shall vest as follows: twenty five percent (25%) of the
shares subject to the option shall vest and become exercisable on
August 27, 2019, and thereafter the remaining shares subject to the
option shall vest and become exercisable in equal monthly
installments over thirty six (36) months, such that the option will
be fully vested and exercisable on August 27, 2022. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Nelson Sonja
C/O NANTKWEST, INC.
3530 JOHN HOPKINS COURT
SAN DIEGO, CA 92121 |
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|
Chief Financial Officer |
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Signatures
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/s/ Sonja Nelson |
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1/13/2021 |
**Signature of Reporting
Person |
Date |