Home > Insider Trading > Filing (0001209191-20-040651)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1326110	Nantkwest Inc.	NK	Biological Products, (No Disgnostic Substances) (2836)	431979754

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1647994	J. Barry Simon	C/O Nantkwest, Inc. 3530 John Hopkins Court San Diego CA 92121	See Remarks	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-06-30	9	$1.76	3,170,549	No	4	M	Direct
Common Stock	Disposition	2020-06-30	9	$13.00	3,170,540	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2020-06-30	9	$0.00	9	$1.76

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
137,647		2024-12-18	No	4	M	Direct

Footnotes

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 December 12, 2019.
Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events.