Current Report Filing (8-k)
19 June 2019 - 9:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event
reported): June 19, 2019
SORRENTO THERAPEUTICS, INC.
(Exact
Name of Registrant as Specified in its Charter)
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Delaware
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001-36150
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33-0344842
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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4955 Directors Place
San Diego, CA 92121
(Address of Principal Executive Offices)
(Zip Code)
Registrant’s telephone number,
including area code: (858) 203-4100
N/A
(Former Name, or Former Address, if Changed
Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant
to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
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Securities Registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol
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Name of each exchange
on which registered
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Common Stock, $0.0001 par value
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SRNE
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The Nasdaq Stock Market LLC
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Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
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If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards
provided pursuant to Section 13(a) of the Exchange Act.
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Item 7.01. Regulation FD Disclosure.
On June 19, 2019, Sorrento Therapeutics,
Inc. (“Sorrento”) issued a press release providing updates regarding its CD38 immunotherapies. A copy of the press
release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference.
On June 19, 2019, Sorrento issued a press
release announcing certain results from its Phase 1b clinical trial of resiniferatoxin (RTX) in knee osteoarthritis pain. A copy
of the press release is furnished as Exhibit 99.2 to this Current Report on Form 8-K and incorporated herein by reference.
The information contained in this Item 7.01 and Exhibits 99.1
and 99.2 hereto are being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities
Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor
shall it be deemed incorporated by reference into any registration statement or other filing under the Securities Act of 1933,
as amended, or the Exchange Act, except as shall be expressly set forth by specific reference to such filing.
Item 8.01 Other Information
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On June 19, 2019, Sorrento posted under
the “Investors” section of Sorrento’s website at www.sorrentotherapeutics.com a corporate presentation regarding
its CD38 immunotherapies. Representatives of Sorrento will use the presentation in industry conferences, investor conferences and
investor meetings from time to time. A copy of the presentation is filed as Exhibit 99.3 to this Current Report on Form 8-K and
incorporated herein by reference.
Item 9.01. Financial Statements and
Exhibits.
(d) Exhibit.
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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SORRENTO THERAPEUTICS, INC.
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Date: June 19, 2019
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By:
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/s/ Henry Ji, Ph.D.
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Name: Henry Ji, Ph.D.
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Title: President and Chief Executive Officer
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