SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SOON-SHIONG PATRICK

(Last) (First) (Middle)
C/O NANTHEALTH, INC.
9920 JEFFERSON BLVD.

(Street)
CULVER CITY CA 90232

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
NantHealth, Inc. [ NH ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
11/06/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/06/2019 G(1) V 5,000,000 D $0.00 62,214,114 I See footnote(2)
Common Stock 2,899,297 I See footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
SOON-SHIONG PATRICK

(Last) (First) (Middle)
C/O NANTHEALTH, INC.
9920 JEFFERSON BLVD.

(Street)
CULVER CITY CA 90232

(City) (State) (Zip)
1. Name and Address of Reporting Person*
CALIFORNIA CAPITAL EQUITY, LLC

(Last) (First) (Middle)
C/O NANTHEALTH, INC.
9920 JEFFERSON BLVD.

(Street)
CULVER CITY 90230

(City) (State) (Zip)
1. Name and Address of Reporting Person*
NantWorks, LLC

(Last) (First) (Middle)
9920 JEFFERSON BLVD.

(Street)
CULVER CITY CA 90230

(City) (State) (Zip)
Explanation of Responses:
1. Shares transferred for no value by NantWorks, LLC ("NantWorks") to (i) MIMI TRUST I OF DE 2009; (ii) STEVE TRUST I OF DE 2009; (iii) MIMI TRUST II OF DE 2009; and (iv) STEVE TRUST II OF DE 2009 (each a "Grantee"). Each Grantee received a total of 1,250,000 shares.
2. Shares held by 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 shares held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.
3. Shares held by NantOmics, LLC ("NantOmics"). NantWorks directly owns a majority of the equity interests of NantOmics. CalCap directly owns all of the equity interests of NantWorks and may be deemed to have beneficial ownership of the shares held by NantWorks. The reporting person directly owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.
Remarks:
/s/ Patrick Soon-Shiong on behalf of himself and each other reporting person 11/07/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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