SORRENTO TECH, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows, 23 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-09-21: Reporting owner BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G; Form 4; Security Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-09-21: Reporting owner Weller Harry R; Form 4; Security Warrant to Purchase Common Stock (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-09-21: Reporting owner Viswanathan Ravi; Form 4; Security Warrant to Purchase Common Stock (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-09-21: Reporting owner SANDELL SCOTT D; Form 4; Security Warrant to Purchase Common Stock (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-09-21 | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See Explanation of Responses | P Open market or private purchase of non-derivative or derivative security | +571,429 571,429 owned after | no price filed | 2016-10-31 | |
| 2016-09-21 | Weller Harry R 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | Viswanathan Ravi 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | SANDELL SCOTT D 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | MOTT DAVID M 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | KERINS PATRICK J 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | BASKETT FOREST 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | BARRIS PETER J 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | BARRETT M JAMES Director, 10% Owner | 4 | Warrant to Purchase Common Stock (right to buy) Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 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 | Warrant to Purchase Common Stock (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,714,286 5,714,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | Boesgaard Lars Officer (Vice President, CFO) | 4 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +35,714 35,714 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | VALERIANI NICHOLAS J Director | 4 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +71,429 71,429 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | Mary Beth Duseau Officer (SVP, Chief Commercial Officer) | 4 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +14,286 14,286 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | THOMAS PAUL Director, Officer (President and CEO) | 4 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +71,429 71,429 owned after | $0.70 exercise price | 2016-09-23 | |
| 2016-09-21 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Warrants Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +5,660,377 5,660,377 owned after | no price filed | 2016-09-23 | |
| 2016-09-21 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Warrants Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +53,909 53,909 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 | Warrants Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +5,660,377 5,660,377 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 | Warrants Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +53,909 53,909 owned after | no price filed | 2016-09-23 | |
| 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 | Warrant (right to buy) Derivative · Indirect · See footnote | Holding | $11.56 exercise price | 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 | Warrant (right to buy) Derivative · Indirect · See footnote | Holding | $11.56 exercise price | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See footnotes | Holding | $11.56 exercise price | 2014-07-16 | ||
| 2014-07-16 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See footnotes | Holding | $11.56 exercise price | 2014-07-16 |