Sec Form 4 Filing - SOON-SHIONG PATRICK @ NantHealth, Inc. - 2019-11-06

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, 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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1. Name and Address of Reporting Person
SOON-SHIONG PATRICK
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
(Last) (First) (Middle)
C/O NANTHEALTH, INC., 9920 JEFFERSON BLVD.
3. Date of Earliest Transaction (MM/DD/YY)
11/06/2019
(Street)
CULVER CITY, CA90232
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
SOON-SHIONG PATRICK
C/O NANTHEALTH, INC.
9920 JEFFERSON BLVD.
CULVER CITY, CA90232
X X Chief Executive Officer
CALIFORNIA CAPITAL EQUITY, LLC
C/O NANTHEALTH, INC.
9920 JEFFERSON BLVD.
CULVER CITY90230
X
NantWorks, LLC
9920 JEFFERSON BLVD.
CULVER CITY, CA90230
X
Signatures
/s/ Patrick Soon-Shiong on behalf of himself and each other reporting person 11/07/2019
Signature of Reporting Person Date
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.

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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