ImmunityBio, Inc. — Director's Dealing 2020

Dec 29, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NantKwest, Inc. (NK)
CIK: 0001326110
Period of Report: 2020-12-22

Reporting Person: Simon Barry J. (Director, See remarks)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-22	Common Stock	M	130000	$1.9984	Acquired	3300540	Direct
2020-12-22	Common Stock	S	130000	$18.0508	Disposed	3170540	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-22	Stock Option (right to buy)	$1.9984	M	130000	Disposed	2025-02-16	Common Stock (130000)	Direct

Footnotes

F1: 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.

F2: Represents the weighted average share price of an aggregate total of 130,000 shares sold in the price range of $18.00 to $18.245 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3: 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 January 16, 2015.