Explanatory Note: This Amendment No. 4 amends and supplements the Schedule 13D (as so amended, this
Schedule 13D) filed with the Securities and Exchange Commission (the SEC) on August 31, 2015, by the Reporting Persons (as defined below), with respect to the common stock, par value $0.0001 per share (Common
Stock), of NantKwest, Inc., a Delaware corporation (the Issuer), as amended by Amendment No. 1 thereto filed with the SEC on October 23, 2015, Amendment No. 2 thereto filed with the SEC on July 11, 2016, and
Amendment No. 3 thereto filed with the SEC on April 1, 2019.
Item 3. Source and Amount of Funds or Other Consideration.
Item 3 of this Schedule 13D is hereby amended by inserting the following:
In addition, on June 24, 2020, Dr. Patrick Soon-Shiong purchased 3,710,000 shares of the Issuers Common Stock for an aggregate purchase price
of approximately $45.0 million. The shares purchased were purchased by Dr. Soon-Shiong using his investment capital or funds under management.
Item 4. Purpose of Transaction.
Item 4 of this
Schedule 13D is hereby amended by inserting the following:
In addition, on June 24, 2020, Dr. Patrick Soon-Shiong purchased 3,710,000 shares of
the Issuers Common Stock for an aggregate purchase price of approximately $45.0 million.
Item 5. Interest in Securities of the Issuer.
The disclosure in Item 5 is hereby amended and restated as follows:
(a) and (b) Cambridge Equities beneficially owns, in the aggregate, 40,575,814 shares of Common Stock, representing approximately 37.9% of the
outstanding Common Stock of NantKwest. MP 13 Ventures and Dr. Soon-Shiong may be deemed to beneficially own, and share voting power and investment power with Cambridge Equities over, all shares of Common Stock beneficially owned by Cambridge
Equities.
The Foundation beneficially owns, in the aggregate, 5,618,326 shares of Common Stock, representing approximately 5.2% of the outstanding Common
Stock of the Company. Dr. Soon-Shiong may be deemed to beneficially own, and share voting power and investment power over, all shares of Common Stock beneficially owned by the Foundation.
Dr. Soon-Shiong also beneficially owns 24,650,750 shares of Common Stock, which consists of 23,750,750 shares of Common Stock directly owned by
Dr. Soon-Shiong and an option to purchase 900,000 shares of Common Stock held by Dr. Soon-Shiong that is fully vested. Dr. Soon-Shiong has the sole power to vote or direct the vote, and the sole power to dispose or direct the
disposition, of all such 24,650,750 shares of Common Stock. As a result, Dr. Soon-Shiong may be deemed to beneficially own, in the aggregate, 70,844,890 shares of Common Stock, representing approximately 65.6% of the outstanding Common Stock of
the Issuer.
For purposes of this Item 5(a) and (b), the percentages are calculated based upon (x) the shares of the Issuers Common Stock
beneficially owned by the Reporting Person, divided by (y) the sum of (i) 98,508,958 shares of the Issuers Common Stock (defined below) outstanding, as set forth in the Issuers Quarterly Report on Form
10-Q for the period ended March 31, 2020, filed with the Securities and Exchange Commission (the SEC) on May 11, 2020, (ii) 8,521,500 shares that were issued in connection with the
Companys offering of Issuers Common Stock on June 24, 2020, and (iii) in the case of Dr. Soon-Shiong only, an option to purchase 900,000 shares of Common Stock held by Dr. Soon-Shiong that is fully vested.
(c) The information set forth in Item 3 above is hereby incorporated by reference in response to this Item 5(c).
(d) To the knowledge of the Reporting Persons, other than as described in this Schedule 13D, no other person is known to have the right to receive or the power
to direct the receipt of dividends from, or the proceeds from the sale of the shares owned by it.
(e) Not applicable.
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