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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant | $ 16.2823 | 09/12/2012 | 09/12/2017 | Common Stock | 1,500,000 | 1,500,000 | I | Through NantWorks LLC (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SOON-SHIONG PATRICK 9922 JEFFERSON BOULEVARD CULVER CITY, CA 90232 |
X | |||
California Capital Z, LLC 9922 JEFFERSON BOULEVARD CULVER CITY, CA 90232 |
X |
/s/ Patrick Soon-Shiong | 09/01/2015 | |
**Signature of Reporting Person | Date | |
/s/ Charles Kenworthy, Manager of California Capital Z, LLC | 09/01/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares of common stock were sold on the open market. The price reported in Column 4 is a weighted average sale price. Each of Dr. Patrick Soon-Shiong and California Capital Z, LLC ("California Capital") 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. |
(2) | Dr. Soon-Shiong is the sole member of California Capital. |
(3) | California Capital Equity, LLC is the sole member of NantWorks LLC. Dr. Soon-Shiong is the sole member of California Capital Equity, LLC. |
Remarks: For the avoidance of doubt, the disclosure of any securities in this Form 4 shall not be construed as an admission of beneficial ownership for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, of any such securities. |