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JAKKS PACIFIC INC — Director's Dealing 2016
Jul 1, 2016
33653_dirs_2016-07-01_56bd423a-5e6e-4939-bab5-b3ab71e05c8a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: JAKKS PACIFIC INC (JAKK)
CIK: 0001009829
Period of Report: 2016-06-29
Reporting Person: SOON-SHIONG PATRICK (10% Owner)
Reporting Person: California Capital Z, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-06-29 | Common Stock | S | 10850 | $7.776 | Disposed | 2712494 | Indirect |
| 2016-06-30 | Common Stock | S | 17337 | $7.893 | Disposed | 2695157 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 239622 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant | $16.2823 | 2017-09-12 | Common Stock (1500000) | 1500000 | Indirect |
Footnotes
F1: These shares of common stock were sold on the open market. The price reported in Column 4 is a weighted average price per share. These shares were sold in multiple transactions at prices ranging from $7.750 to $7.800, inclusive. Each of Dr. Patrick Soon-Shiong and California Capital Z, LLC ("California Capital Z") undertakes to provide to JAKKS Pacific, Inc. (the "Company"), any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were sold.
F2: Dr. Patrick Soon-Shiong is the sole member of California Capital Z.
F3: These shares of common stock were sold on the open market. The price reported in Column 4 is a weighted average price per share. These shares were sold in multiple transactions at prices ranging from $7.840 to $7.915, inclusive. Each of Dr. Patrick Soon-Shiong and California Capital Z undertakes to provide to the Company, any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were sold.
F4: California Capital Equity, LLC is the sole member of NantWorks LLC. Dr. Patrick Soon-Shiong is the sole member of California Capital Equity, LLC.