SORRENTO TECH, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 128 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-07-16: Reporting owner BARRETT M JAMES; Form 3; Security Series B Preferred Stock; Transaction Holding.
- 2014-07-16: Reporting owner BARRETT M JAMES; Form 3; Security Series C Preferred Stock; Transaction Holding.
- 2014-07-16: Reporting owner BARRETT M JAMES; Form 3; Security Series D Preferred Stock; Transaction Holding.
- 2014-07-16: Reporting owner BARRETT M JAMES; Form 3; Security Series E Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-07-16 holding as of filing | BARRETT M JAMES Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | BARRETT M JAMES Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | BARRETT M JAMES Director, 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | BARRETT M JAMES Director, 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2014-07-16 | ||
| 2014-07-16 holding as of filing | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2014-07-16 |