UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SOON SHIONG PATRICK 10182 CULVER BOULEVARD CULVER CITY, CA 90232 |
 |  X |  |  |
California Capital Z, LLC 10182 CULVER BOULEVARD CULVER CITY, CA 90232 |
 |  X |  |  |
/s/ Patrick Soon-Shiong | 04/09/2013 | |
**Signature of Reporting Person | Date | |
/s/ Charles Kenworthy, Manager of California Capital Z, LLC | 04/09/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The shares disclosed represent the shares deemed to be held by Dr. Patrick Soon-Shiong after giving effect to the transactions through 4/5/2013 that gave rise to the requirement to file this Form 3. This Form 3 excludes the effect of the transactions on 4/5/2013 that are reported on the Form 4 filed concurrently with this Form 3. |
(2) | Dr. Soon-Shiong is the sole member of California Capital Z, LLC. |