ImmunityBio, Inc. — Director's Dealing 2022

Nov 8, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ImmunityBio, Inc. (IBRX)
CIK: 0001326110
Period of Report: 2022-08-31

Reporting Person: SOON-SHIONG PATRICK (Director, See remarks, 10% Owner)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-08-31	Amended and Restated Convertible Promissory Note	$5.67	P		Acquired	2025-09-30	Common Stock ()	Indirect
2022-08-31	Amended and Restated Convertible Promissory Note	$5.67	P		Acquired	2025-09-30	Common Stock ()	Indirect
2022-08-31	Second Amended and Restated Convertible Promissory Note	$5.67	P		Acquired	2025-09-30	Common Stock ()	Indirect
2022-08-31	Second Amended and Restated Convertible Promissory Note	$5.67	P		Acquired	2025-09-30	Common Stock ()	Indirect
2022-08-31	Second Amended and Restated Convertible Promissory Note	$5.67	P		Acquired	2025-09-30	Common Stock ()	Indirect
2022-08-31	Second Amended and Restated Convertible Promissory Note	$5.67	P		Acquired	2025-09-30	Common Stock ()	Indirect

Footnotes

F1: On August 31, 2022, the terms of the original fixed-rate promissory note were amended and restated to include a conversion feature that gives each lender the right at any time, at its sole option, to convert the entire outstanding principal amount and accrued and unpaid interest due under each note at the time of conversion into shares of the Issuer's common stock at a price of $5.67 per share. Dollar amounts shown reflect the aggregate principal and interest accrued as of August 31. 2022.

F2: Amended and Restated Convertible Promissory Note held by NantCapital, LLC, an investment vehicle of the reporting person.

F3: Second Amended and Restated Convertible Promissory Note held by NantCapital, LLC, an investment vehicle of the reporting person.

F4: Second Amended and Restated Convertible Promissory Note held by NantWorks, LLC ("NantWorks"). California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the securities held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and may be deemed to have voting and dispositive power over the securities held by NantWorks.

F5: Second Amended and Restated Convertible Promissory Note held by NantMobile, LLC ("NantMobile"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantMobile and may be deemed to have beneficial ownership of the securities held by NantMobile. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantMobile.

F6: Second Amended and Restated Convertible Promissory Note held by NantCancerStemCell, LLC ("NantCancerStemCell"). NantBio, Inc. ("NantBio") is the majority stockholder and an affiliate of NantCancerStemCell and may be deemed to have beneficial ownership of the securities held by NantCancerStemCell. NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the securities held by NantBio and its affiliates. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the securities held by NantBio and its affiliates.