SORRENTO TECH, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 34 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-10: Reporting owner COULTER JAMES G | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc.; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2016-11-10: Reporting owner VALERIANI NICHOLAS J; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2016-11-10: Reporting owner Boesgaard Lars; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2016-11-10: Reporting owner THOMAS PAUL; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-10 | COULTER JAMES G | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | +4,000 0 owned after | no price filed | 2017-02-15 | |
| 2016-11-10 | VALERIANI NICHOLAS J Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −50 0 owned after | $0.00 | 2016-11-10 | |
| 2016-11-10 | Boesgaard Lars Officer (Vice President, CFO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −25 0 owned after | $0.00 | 2016-11-10 | |
| 2016-11-10 | THOMAS PAUL Director, Officer (President and CEO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −50 0 owned after | $0.00 | 2016-11-10 | |
| 2016-11-10 | Mary Beth Duseau Officer (SVP, Chief Commercial Officer) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −10 0 owned after | $0.00 | 2016-11-10 | |
| 2016-09-21 | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Explanation of Responses | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | no price filed | 2016-10-31 | |
| 2016-09-21 | Weller Harry R 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | Viswanathan Ravi 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | SANDELL SCOTT D 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | MOTT DAVID M 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | KOLLURI KRISHNA KITTU 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | KERINS PATRICK J 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | BASKETT FOREST 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | BARRIS PETER J 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | BARRETT M JAMES Director, 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · See Note 3 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | NEA Partners 13, Limited Partnership | NEW ENTERPRISE ASSOCIATES 13 LP | NEA 13 GP, Ltd 10% Owner | 10% Owner | 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-30 | |
| 2016-09-21 | Weller Harry R 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | Viswanathan Ravi 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | SANDELL SCOTT D 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | MOTT DAVID M 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | KERINS PATRICK J 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | BASKETT FOREST 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | BARRIS PETER J 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | BARRETT M JAMES Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | Boesgaard Lars Officer (Vice President, CFO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25 25 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | VALERIANI NICHOLAS J Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50 50 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | Mary Beth Duseau Officer (SVP, Chief Commercial Officer) | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10 10 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | THOMAS PAUL Director, Officer (President and CEO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50 50 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +3,962 3,962 owned after | no price filed | 2016-09-23 | |
| 2016-09-21 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +38 38 owned after | no price filed | 2016-09-23 | |
| 2016-09-21 | OrbiMed Capital GP III LLC | ISALY SAMUEL D | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +3,962 3,962 owned after | no price filed | 2016-09-23 | |
| 2016-09-21 | OrbiMed Capital GP III LLC | ISALY SAMUEL D | ORBIMED ADVISORS LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +38 38 owned after | no price filed | 2016-09-23 |