Release Details

Sorrento Distributes Dividend Confirmation Statements to 146 Brokerage Firms and Provides Specific Instruction to Continental Stock Transfer & Trust Company Regarding the Dividend of Scilex Holding Company Common Stock

February 3, 2023

SAN DIEGO, Feb. 03, 2023 (GLOBE NEWSWIRE) -- Sorrento Therapeutics, Inc. (Nasdaq: SRNE, “Sorrento”) today distributed dividend confirmation statements to 146 brokerage firms regarding its recent dividend to Sorrento stockholders of shares of common stock of Scilex Holding Company (Nasdaq: SCLX, “Scilex”) held by Sorrento. These statements, which contain the account numbers and amount of Scilex dividend shares, were previously mailed out by Continental Stock Transfer & Trust Company.

The dividend confirmation statements are being distributed on behalf of Sorrento and Scilex to notify each brokerage firm of Sorrento’s previously announced stock dividend (the “Dividend”) consisting of an aggregate of 76,000,000 shares (the “Dividend Stock”) of common stock of Scilex held by Sorrento to record holders of (i) Sorrento’s common stock (the “Record Common Holders”) as of the close of business on January 9, 2023 (the “Record Date”), and (ii) certain warrants to purchase Sorrento common stock (which have or may have the right to participate in the Dividend pursuant to the terms of their respective warrants).

According to Sorrento’s estimates, approximately 60 million or more shares of Sorrento common stock were sold “short” as of the Record Date. In the event the shares of Sorrento common stock were held through a brokerage firm, bank, dealer or other similar organization and were sold “short” as of the Record Date, holders should consult with their financial advisor, broker or other agent immediately to determine whether they may also be deemed “short” Scilex common stock as a result of the Dividend, as well as any obligations required for you to cover your “short” position(s). Please note that “naked short” sales or “naked short” positions in any Sorrento common stock may constitute a violation of the U.S. Securities and Exchange Commission Regulation SHO.

Each Record Common Holder is entitled to receive 0.1410127 of a share of Scilex common stock for each one share of Sorrento common stock held by such Record Common Holder as of the close of business on the Record Date. The payment date for the Dividend was January 19, 2023. The resulting fewer number of shares of Scilex common stock that will be available to trade could cause the trading market of the common stock of Scilex to become less liquid. As noted above, Scilex’s transfer agent, Continental Stock Transfer & Trust Company (“CST”), has already distributed to brokerage firms, as the Record Common Holder (for the benefit of their customers that held Sorrento common stock on the Record Date), a book-entry/DRS transaction confirmation (the “Dividend Confirmation Statement”) reflecting the portion of the Dividend Stock allocated to such firm (for the benefit of their customers that held Sorrento common stock on the Record Date), which Dividend Confirmation Statements were mailed to the addresses on record with The Depository Trust & Clearing Corporation.

In the event that brokerage firms did not receive copies of the Dividend Confirmation Statements, please contact CST immediately. Sorrento and Scilex are requesting that each brokerage firm distribute the Dividend Stock to the actual beneficial owners thereof and to reflect Scilex’s CUSIP number 80880W106 and value of Scilex common stock on each beneficial owner’s brokerage statement.

Sorrento and Scilex have given specific instructions to Scilex’s transfer agent, CST, on how to answer certain inquiries from Record Holders and brokerage firms:

  • When beneficial holders call CST:
    • CST will direct the beneficial holders to contact their brokers.
  • When brokers call CST:
    • CST needs to confirm with the broker that such broker has received their Dividend Confirmation Statement.
    • If brokers did not get the Dividend Confirmation Statement, CST will distribute the Dividend Confirmation Statement again to the applicable broker.
  • CST will communicate to the brokers that Sorrento and Scilex demand that brokers distribute the Scilex common stock to the individual accounts of the beneficial holders.
  • If brokers refuse to distribute the Scilex common stock, Sorrento and Scilex will work with CST and the beneficial holder in exiting their brokerage accounts out of “street” name and into book entry format with CST so that the beneficial holder becomes the direct holder of record with CST. The beneficial holders will be charged $15 for the exit of such positions from their brokerage accounts.

To obtain a copy of the Dividend Confirmation Statement and to have the Dividend Stock reflected on such Dividend Confirmation Statement further distributed to the actual beneficial owners thereof, please contact Scilex’s transfer agent, CST, by phone or email at:

Continental Stock Transfer & Trust Company
Telephone Number: 800-509-5586
Email Address: cstmail@continentalstock.com

Broker List

Broker Name Broker Address   Broker Name Broker Address
ABN AMRO CLEARING CHICAGO LLC

https://www.abnamro.com/clearing/en/contact-form


 
175 WEST JACKSON BLVD. CHICAGO
IL ILLINOIS 60604 US
Albert Fried & Company LLC

information@albertfried.com
 
45 BROADWAY, 24TH FLOOR
24TH FLOOR NEW YORK NY NEW YORK
10006 US
AMALGAMATED BANK

https://www.amalgamatedbank.com/contact
 
275 7TH AVENUE NEW YORK
NY NEW YORK 10003 US
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

contactus@americanenterprise.com
682 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS
MN MINNESOTA 55474 US

 

Broker Name Broker Address   Broker Name Broker Address
APEX CLEARING CORPORATION

cs@apexclearing.com
 
2 GATEWAY
CENTER
283-299 MARKET ST 16TH FLOOR NEWARK
NJ NEW JERSEY 07102-5005 US
BANK OF AMERICA, NA/GWIM TRUST OPERATIONS

1.800.878.7878

https://www.privatebank.bankofamerica.com/find-an-advisor.html
901 MAIN STREET
12TH FLOOR DALLAS
TX TEXAS 23113 US
BANK OF NEW YORK MELLON

gceamericas@bnymellon.com
 
111 SANDERS CREEK PARKWAY 2ND FLOOR
2ND FLOOR EAST SYRACUSE NY NEW YORK 13057 US.
BARCLAYS CAPITAL INC.

corporateactionsu@barclays.com
 
DTC CUSTODY PARTICIPANT- NY WINDOW -570 WASHINGTON BLVD (ATTN: ROSA HICKS- MILLER OR ROBERT MENDEZ
JERSEY CITY NJ NEW JERSEY
07310 US
BARCLAYS CAPITAL INC.

corporateactionsu@barclays.com
 
DTC CUSTODY PARTICIPANT- NY WINDOW -570 WASHINGTON BLVD (ATTN: ROSA HICKS-MILLER OR ROBERT MENDEZ JERSEY CITY
NJ NEW JERSEY 07310 US
BMO CAPITAL MARKETS CORP.

https://capitalmarkets.bmo.com/en/contact-us/
 
3 2ND STREET
12TH FLOOR JERSEY CITY NJ NEW JERSEY 07302 US
BMO HARRIS BANK NA/TRUST

https://www.bmoharris.com/main/contact-us/
11270 W PARK PL MILWAUKEE
WI WISCONSIN 53224 US
BMO Nesbitt Burns Inc., Toronto

NACom.Compliance@bmo.com
250 YONGE STREET,
7TH FLOOR
7TH FLOOR TORONTO ON ONTARIO M5B 2M8 CA
CANADA
BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME
BROKERAGE CUSTODIAN
alex.bergelson@us.bnpparibas.com
100 WEST 33RD STREET
3RD FLOOR NEW YORK NY NEW YORK
10001
BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME
BROKERAGE CUSTODIAN
alex.bergelson@us.bnpparibas.com
100 WEST 33RD STREET
3RD FLOOR NEW YORK NY NEW YORK
10001
BNY MELLON

gceamericas@bnymellon.com
 
PO BOX 392002
500 ROSS STREET PITTSBURGH
PA
PENNSYLVANIA 15262 US
BNY MELLON/WEALTH MANAGEMENT

gceamericas@bnymellon.com
 
1 FREEDOM VALLEY DRIVE
OAKS
PA PENNSYLVANIA 19456 US
BNYMELLON

gceamericas@bnymellon.com
111 SANDERS CREEK PARKWAY 2ND FLOOR
2ND FLOOR EAST SYRACUSE
BNYMELLON/RE BARCLAYS CAPITAL SECURITIES LTD.

gceamericas@bnymellon.com
ONE WALL STREET NEW YORK
NY NEW YORK 10286

 

Broker Name Broker Address   Broker Name Broker Address
  NY NEW YORK 13057 US    
BNYMELLON/RE CACEIS BANK LUXEMBOURG

gceamericas@bnymellon.com
 
500 Grant St.
BNY Mellon Center PITTSBURGH
PA PENNSYLVANIA
15258
BNYMELLON/RE CACEIS BANK, NETHERLANDS

gceamericas@bnymellon.com
 
111 SANDERS CREEK PARKWAY
EAST SYRACUSE NY NEW YORK 13057
BNYMELLON/RE CHARLES STANLEY AND COMPANY, LIMITED

gceamericas@bnymellon.com
 
111 SANDERS CREEK PARKWAY 2ND FLOOR
2ND FLOOR EAST SYRACUSE NY NEW YORK
13057 US
BNYMELLON/RE ETF - ISHARES DTC/NSCC

gceamericas@bnymellon.com
111 SANDERS CREEK PARKWAY
EAST SYRACUSE NY NEW YORK 13057
BNYMELLON/RE WINTERFLOOD SECURITIES LTD

gceamericas@bnymellon.com
500 Grant St.
BNY Mellon Center PITTSBURGH
PA PENNSYLVANIA 15258
BOFA

corey.j.colvin@bankofamerica.com
4804 Deer Lake Drive East
FL9-803-04-04- 4th
floor JACKSONVILLE FL FLORIDA
32246 US
BOFA

corey.j.colvin@bankofamerica.com
 
4804 Deer Lake Drive East
FL9-803-04-04- 4th
floor JACKSONVILLE FL FLORIDA
32246 US
BOFA
SECURITIES INC

corey.j.colvin@bankofamerica.com
 
4804 Deer Lake Drive East
FL9-803-04-04- 4th
floor JACKSONVILLE FL FLORIDA
32246 US
BROWN BROTHERS HARRIMAN & CO.

contactus@bbh.com
 
140 BROADWAY ATTN: CORPORATE ACTIONS VAULT NEW YORK
NY NEW YORK 10005 US
BROWN BROTHERS HARRIMAN & CO./ETF

contactus@bbh.com
 
140 BROADWAY NEW YORK
NY NEW YORK 10005
CALDWELL SECURITIES LTD./CDS**

reception@caldwellsecurities.com
 
55 UNIVERSITY AVENUE
SUITE 340 TORONTO ON ONTARIO
M5J 2H7 CANADA
CANACCORD GENUITY CORP.

investor.relations@cgf.com
 
609 GRANVILLE ST VANCOUVER
BC BRITISH COLUMBIA
V7Y 1H2 CA CANADA
CANTOR, FITZGERALD & CO.

https://www.cantor.com/investor-center/
 
135 E 57TH ST 5TH FL
NEW YORK
NY NEW YORK 10041 US
CDS CLEARING AND DEPOSITORY SERVICES INC.

cdscustomersupport@tmx.com
100 ADELAIDE STREET WEST TORONTO
ON ONTARIO
M5H 1S3 CA CANADA
CETERA INVESTMENT SERVICES LLC

reorg@ceterafi.com
400 FIRST STREET
SOUTH, SUITE 300
SUITE 300 ST. CLOUD
CHARLES SCHWAB & CO., INC.

800-435-4000

https://www.schwab.com/contact-us
211 MAIN STREET SAN FRANCISCO CA CALIFORNIA
94105 US

 

Broker Name Broker Address   Broker Name Broker Address
  MN MINNESOTA 56302-0283 US    
CI INVESTMENT SERVICES INC.

info.ciis@ci.com
199 BAY STREET
SUITE 2600 TORONTO ON ONTARIO M5L 1E2 CA
CANADA
CIBC WORLD MARKETS INC./CDS**

info@cibc.com.
 
161 BAY STREET 10 FL
TORONTO ON ONTARIO
M5J 2S8 CA CANADA
CITIBANK, N.A./ETF


1-800-950-5114
3800 CITIGROUP CENTER
B2/2 TAMPA
FL FLORIDA 33610
CITIBANK, NATIONAL ASSOCIATION


1-800-950-5114
3800 CITIBANK CENTER TAMPA BLDG.B FIRST FLOOR ZONE 8 TAMPA
FL FLORIDA 33610-9122 US
CITIGROUP GLOBAL MARKETS, INC.

1-800-950-5114
 
580 CROSSPOINT PARKWAY GETZVILLE
NY NEW YORK 14068 US
CLEAR STREET LLC



https://clearstreet.io/contact
 
4 World Trade Center, 45th Floor
150 Greenwich Street NEW YORK
NY NEW YORK 10007
CLEARSTREET IO


info@clearstreet.io


 
55 BROADWAY
(SUITE 2102) CORPORATE ACTIONS NEW YORK
NEW YORK 10006 US
COMMERCE BANK



brokerage.newaccounts@commercebank.com
 
922 WALNUT STREET MAIL STOP TBTS-2 KANSAS CITY
MO MISSOURI 64106 US
COR CLEARING LLC

dividend.interests@axosclearing.com

 
9300 UNDERWOOD AVE
SUITE 400 OMAHA
NE NEBRASKA 68114 US
Credential Securities Inc.



clientcare@credential.com
 
800-1111 WEST GEORGIA STREET VANCOUVER
BC BRITISH COLUMBIA
V6E 4T6 CA CANADA
CREST INTERNATIONAL NOMINEES LIMITED



Admin@crest-approved.org

 
33 CANNON STREET LONDON EC4M 5SB GB
UNITED KINGDOM
CURVATURE SECURITIES, LLC



info@curvaturesecurities.com
39 MAIN STREET CHATHAM
NJ NEW JERSEY 07928 US
D.A. DAVIDSON & CO.



https://dadavidson.com/Contact-Us

 
8 3RD STREET NORTH GREAT FALLS MT MONTANA
59401 US
DEPOSITO CENTRAL DE VALORES S.A., DEPOSITO DE
VALORES

https://www.dcv.cl/en/contact.html

 
AVENIDA APOQUINDO # 4001
FLOOR 12, C.P.
7550162, SANTIAGO CL CHILE

 

Broker Name Broker Address   Broker Name Broker Address
DESJARDINS SECURITIES INC.

asfaires@desjardins.com

 
1253 McGill College 10TH FLOOR MONTREAL QUEBEC
H3B 2Y5 CA CANADA
DEUTSCHE BANK AG NY/US CUSTODY

deutsche.bank@db.com
1251 Avenue Of The Americas
NEW YORK NY NEW YORK 10020
DEUTSCHE BANK SECURITIES INC.

intm.corporate-actions@db.com
 
60 WALL STREET
9TH FLOOR NEW YORK NY NEW YORK 10005 US
DRIVEWEALTH, LLC

https://www.drivewealth.com/lets-build-together/
 
15 EXCHANGE PLACE
10TH FLOOR JERSEY CITY
NEW JERSEY 07302
E*TRADE CLEARING LLC

https://us.etrade.com/contact-us
 
HARBORSIDE FINANCIAL CENTER
501 PLAZA 11 JERSEY CITY
NJ NEW JERSEY 07311 US
EDWARD D. JONES & CO., L.P.

1 (800) 441-2357
 
12555 MANCHESTER ROAD
ST. LOUIS
MO MISSOURI 63131-3729 US
EDWARD D. JONES & CO., L.P.

1 (800) 441-2357
201 PROGRESS PARKWAY MARYLAND HEIGHTS
MO MISSOURI 63043 US
FIDELITY CLEARING CANADA
ULC/CDS**

acctransfer.fcc@fidelity.ca

 
483 BAY ST. SOUTH TOWER TORONTO
ON ONTARIO M5G2N7 CA CANADA
FIFTH THIRD BANK

1-866-671-5353
5001 KINGSLEY DRIVE
MAIL DROP 1MOB28 CINCINNATI
OH OHIO 45227 US
FOLIO INVESTMENTS, INC.

https://folioinvesting.com/folioinvesting/contact-us/
 
8180 GREENSBORO DRIVE
8TH FLOOR MCLEAN
VA VIRGINIA 22102 US
FUTU CLEARING INC.

customersvc@futuclearing.com


 
12750 Merit Drive
SUITE 475 DALLAS TX TEXAS 75251
GMP SECURITIES L.P.

416 943 6696
145 KING STREET
WEST, SUITE 300 11TH FLOOR TORONTO
ON ONTARIO
MJ5 1J8 CA CANADA
GOLDMAN, SACHS & CO. LLC


gs-investor-relations@gs.com.
 
222 SOUTH MAIN STREET
Attn: Mandatory Corporate Actions SALT LAKE CITY UT UTAH
84101 US
HAYWOOD SECURITIES INC./CDS**

https://www.haywood.com/who-we-are/locations
 
200 BURRARD ST WATERFRONT CENTRE SUITE 700 VANCOUVER
BC BRITISH COLUMBIA
V6C 3L6 CANADA
HILLTOP SECURITIES INC.

https://www.hilltopsecurities.com/contact/
1201 ELM ST.
35TH FLOOR DALLAS
TX TEXAS
75270 US
HRT FINANCIAL LLC

voicemail@hudson-trading.com


 
150 GREENWICH STREET (ATTN: SETTLEMENT) FOUR WORLD TRADE
CENTER

 

Broker Name Broker Address   Broker Name Broker Address
      57TH FLOOR NEW YORK NY NEW YORK
10007 US
HSBC BANK USA, NA/HSBC CUSTODY & CLEARING SERVICES FOR
STOCK LOAN

https://www.us.hsbc.com/customer-service/contact-us/

 
452 FIFTH AVENUE ATTN: HBUS CCS SETTS
NEW YORK NY NEW YORK
10018 US
HSBC BANK USA, NATIONAL ASSOCIATION

investorrelations@hsbc.com
 
452 FIFTH AVENUE ATTN: HBUS CCS SETTS
NEW YORK NEW YORK
10018 US
INTERACTIVE BROKERS LLC

877-442-2757
2 PICKWICK PLAZA
2ND FLOOR GREENWICH
CT CONNECTICUT
06830 US
J.P. MORGAN CHASE BANK NA/FBO BLACKROCK CTF

https://am.jpmorgan.com/us/en/asset-management/adv/contact-us/

 
1111 POLARIS PARKWAY COLUMBUS OH OHIO
43240
J.P. MORGAN CLEARING CORP.

(347) 643-1000
FOUR CHASE METROTECH CENTER
3RD FLOOR BROOKLYN NY NEW YORK
11201 US
JANNEY MONTGOMERY SCOTT LLC

taxreportingwccontacts@janney.com
 
1717 ARCH STREET
17TH FLOOR PHILADELPHIA
PA PENNSYLVANIA 19103 US
JEFFERIES LLC


https://www.jefferies.com/FooterPages/Contact-Us/94
 
101 HUDSON
STREET, 11th Floor NEW JERSEY
NJ NEW JERSEY 07302 US
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION

JPMCinvestorrelations@jpmchase.com
 
FOUR CHASE METROTECH CENTER
3RD FLOOR BROOKLYN NY NEW YORK
11201 US
JPMORGAN CHASE BANK/EUROCLEAR BANK

JPMCinvestorrelations@jpmchase.com
FOUR CHASE METROTECH CENTER
3RD FLOOR BROOKLYN NY NEW YORK
11245 US
JPMORGAN CHASE BANK/IA

JPMCinvestorrelations@jpmchase.com
FOUR CHASE METROTECH CENTER
3RD FLOOR BROOKLYN NY NEW YORK
11201 US
KEYBANK NATIONAL ASSOCIATION

https://www.key.com/personal/customer-support/contact-us.html
 
4900 TIEDEMAN RD BROOKLYN
OH OHIO 44144 US
LAURENTIAN BANK SECURITIES INC.

https://www.vmbl.ca/portal/web/site_public/contactez-nous
 
1981 MCGILL COLLEGE AVE. SUITE 100 MONTREAL QUEBEC
H3A 3K3 CA CANADA
LPL FINANCIAL LLC

renata.jaskiewicz@lpl.com
 
4707 EXECUTIVE DRIVE
SAN DIEGO
CA CALIFORNIA 92121 US
MANUFACTURERS AND TRADERS TRUST COMPANY

https://www3.mtb.com/homepage/explore-the-m-and-t-bank-help-center/mandt-bank-phone-numbers-by-department/telephone-directory
 
ONE M&T PLAZA TRUST OPS 8TH FLOOR BUFFALO
NY NEW YORK 14203 US

 

Broker Name Broker Address   Broker Name Broker Address
MANULIFE SECURITIES INCORPORATED

MLS_securitiesoperations@manulife.ca
 
1235 NORTH SERVICE ROAD WEST OAKVILLE
ON ONTARIO
L6M 2W2 CA CANADA
MARSCO INVESTMENT CORPORATION

op@tradeup.com
 
101 EISENHOWER PARKWAY ROSELAND
NJ NEW JERSEY 07068 US
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

https://www.ml.com/contactus/contact-us.html


 
4804 Deer Lake Drive East
FL9-803-04-04- 4th
floor JACKSONVILLE FL FLORIDA
32246 US
MIRAE ASSET SECURITIES (USA) INC./STOCK LOAN CONDUIT ACCOUNT

212-407-1000
810 SEVENTH AVE
37TH FLOOR NEW YORK
NY NEW YORK 10019
MIRAE ASSET SECURITIES (USA), INC.

212-407-1000
 
810 SEVENTH AVE
37TH FLOOR NEW YORK NY NEW YORK 10019
MITSUBISHI UFJ TRUST & BANKING CORPORATION, NEW YORK
BRANCH
https://safe.tr.mufg.jp/cgi-bin/english/index_contact/index_contact_01.cgi?r=7
280 PARK AVE
39TH FL-WEST BLDG NEW YORK
NY NEW YORK 10017
Morgan Stanley

info@morganstanley.com
 
1300 THAMES STREET
THAMES STREET WHARF BALTIMORE
MD MARYLAND 21231 US
MORGAN STANLEY & CO. LLC

info@morganstanley.com
 
1300 THAMES ST. BALTIMORE
MD MARYLAND
MORGAN STANLEY SMITH BARNEY LLC

investorrelations@morganstanley.com
1 NEW YORK PLAZA
39TH FLOOR NEW YORK
NY NEW YORK 10004 US
MURIEL SIEBERT & CO., INC.

service@siebert.com
 
77 SUMMER STREET
3RD FLOOR BOSTON MA
MASSACHUSETTS 02210 US
NATIONAL FINANCIAL SERVICES LLC

http://www.national-financial-services.com/contact_us/

 
499 WASHINGTON BOULEVARD
5TH FLOOR JERSEY CITY NJ NEW JERSEY
07310 US
NBCN INC.

NBINinformation@nbc.ca


 
1010 rue De La Gauchetière Mezzanine 100 MONTREAL QUEBEC
H3B 5J2 CA CANADA
NOMURA INTERNATIONAL TRUST COMPANY

https://www.nomuraholdings.com/news/contact/
 
309 WEST 49TH STREET
10TH FLOOR NEW YORK NY NEW YORK
10019 US
ODLUM BROWN LIMITED

information@odlumbrown.com
 
250 HOWE STREET
SUITE 1100 VANCOUVER BC BRITISH COLUMBIA
V6C 3R8 CA CANADA
OPPENHEIMER & CO. INC.

michael.shih@opco.com


 
85 BROAD STREET NEW YORK
NY NEW YORK 10004 US
PERSHING LLC

https://www.pershing.com/contact/
 
1 PERSHING PLAZA JERSEY CITY
NJ NEW JERSEY 07399 US

 

Broker Name Broker Address   Broker Name Broker Address
PHILLIP CAPITAL INC.

corporateactions@phillipcapital.com


 
141 W. JACKSON
BLVD. SUITE 3050 CHICAGO
IL ILLINOIS 60604 US
PI FINANCIAL CORP.

reorg@pifinancial.com
 
666 BURRARD ST
SUITE 1900 VANCOUVER BC BRITISH COLUMBIA
V6C 3N1 CA CANADA
PNC BANK, NATIONAL ASSOCIATION

consumerloans@pnc.com
 
4100 W 150TH STREET
ASSET MOVEMENT TEAM 3RD FL, LOCATOR B7- YB17-03-03 CLEVELAND
OH OHIO 44135 US
PRINCIPAL BANK

https://www.principal.com/contact-us
 
711 HIGH STREET DES MOINES
IA IOWA 50392
QUESTRADE INC./CDS**

compliance@questrade.com
 
5650 YONGE ST.,
Suite 1700 TORONTO ON ONTARIO M2M 4G3 CA
CANADA
Raymond James & Associates, Inc.

ClientAccessSupport@RaymondJames.com
 
880 CARILLON PKWY ST. PETERSBURG
FL FLORIDA 33733-2749 US
RAYMOND JAMES LTD.

corporateactions@raymondjames.com
 
925 WEST GEORGIA STREET SUITE 2200 VANCOUVER

BC BRITISH COLUMBIA V6C 3L2 CA
CANADA
RBC CAPITAL MARKETS, LLC

rbcrundle@rbccm.com
 
60 SOUTH 6TH ST. MINNEAPOLIS MN MINNESOTA 55402 US
RBC DOMINION SECURITIES INC

dsonline@rbc.com
 
21 COMMERCE COURT SOUTH 2ND FLOOR TORONTO
ON ONTARIO
M5L 1A7 CANADA
RELIANCE TRUST COMPANY

https://www.reliancetrustgroup.com/contact
 
1100 ABERNATHY RD.
500 NORTHPARK
SUITE 400 ATLANTA GA GEORGIA
30113 US
RELIANCE TRUST COMPANY

janed@reliance-trust.com
 
4900 W. BROWN DEER RD MILWAUKEE WI WISCONSIN 53223 US ROBERT W. BAIRD & CO. INCORPORATED

dividends@rwbaird.com
 
777 E WISCONSIN AVE
9TH FLOOR MILWAUKEE WI WISCONSIN
53202 US
ROBINHOOD SECURITIES, LLC

ir@robinhood.com
 
500 COLONIAL CENTER PARKWAY SUITE 100 LAKE MARY FL FLORIDA
32746 US
SAFRA SECURITIES LLC

https://www.safrasecurities.com/Contact.aspx
 
546 5TH AVENUE NEW YORK
NY NEW YORK 10036 US

 

Broker Name Broker Address   Broker Name Broker Address
SCOTIA CAPITAL (USA) INC.

investor.relations@scotiabank.com
 
150 KING STREET W
5TH FLOOR TORONTO ON ONTARIO M5H 1J9 CA
CANADA
SEI PRIVATE TRUST COMPANY

https://www.seic.com/contact-us
 
1 FREEDOM VALLEY DRIVE
OAKS
PA PENNSYLVANIA 19456 US
SEI PRIVATE TRUST COMPANY

https://www.seic.com/contact-us
 
1 FREEDOM VALLEY DRIVE OAKS
PA PENNSYLVANIA
19456 US
SG AMERICAS SECURITIES, LLC

https://americas.societegenerale.com/en/contact/
 
480 WASHINGTON BLVD.
20TH FLOOR JERSEY CITY NJ NEW JERSEY
07310 US
SSB - BLACKROCK INSTITUTIONAL TRUST

groupcorpcommsamrs@blackrock.com
 
50 California Street San Francisco
CA CALIFORNIA 94163
SSB - TRUST CUSTODY

ssb@dss.ca.gov
 
30 ADELAIDE ST EAST
SUITE 800 TORONTO ON ONTARIO M5C 3G6 CA
CANADA
SSB&T CO/CLIENT CUSTODY SERVICES

https://www.ssbtexas.com/contact
 
1776 HERITAGE DRIVE
NORTH QUINCY MA
MASSACHUSETTS 02171
STATE STREET BANK & TRUST CO

ses-client-service@statestreet.com
16 WALL STREET
5TH FLOOR NEW YORK
NY NEW YORK 10005 US
STATE STREET BANK & TRUST COMPANY / ISHARES EUROPE

ses-client-service@statestreet.com
 
1776 HERITAGE DRIVE
NORTH QUINCY MA MASSACHUSETTS
02171
STATE STREET BANK & TRUST/STATE STREET TOTALETF

ses-client-service@statestreet.com
 
1776 Heritage Drive NORTH QUINCY MA MASSACHUSETTS 02717
STATE STREET BANK AND TRUST COMPANY

ses-client-service@statestreet.com
 
30 ADELAIDE ST EAST
SUITE 800 TORONTO ON ONTARIO
M5C 3G6 CA CANADA
STIFEL, NICOLAUS & COMPANY, INCORPORATED
investorrelations@stifel.com
 
501 N BROADWAY ST. LOUIS
MO MISSOURI 63102 US
STONEX FINANCIAL INC.
dg-clre-org_tenders@stonex.com
 
2 PERIMETER PARK SOUTH SUITE 100 W BIRMINGHAM AL ALABAMA
35243 US
TD AMERITRADE CLEARING, INC.

https://www.tdameritrade.com/why-td-ameritrade/contact-us.html


 
200 S 108TH AVE OMAHA
NE NEBRASKA 68154 US
TD WATERHOUSE CANADA INC ATTN: MANDATORY

https://www.tdameritrade.com/why-td-ameritrade/contact-us.html
77 BLOOR STREET WEST
3RD FLOOR TORONTO
ON ONTARIO
M5S 1M2 CA CANADA
 
TEXAS TREASURY SAFEKEEPING TRUST COMPANY

mathewwilliams@ttstc.org
208 E 10TH ST AUSTIN
TX TEXAS 78701 US

 

Broker Name Broker Address   Broker Name Broker Address
       
THE BANK OF NEW YORK MELLON

gceamericas@bnymellon.com
 
500 GRANT STREET
27TH FLOOR PITTSBURGH PA
PENNSYLVANIA 15258 US
THE HUNTINGTON NATIONAL BANK

https://www.huntington.com/customer-service/contact-us
 
7 EASTON OVAL EA4E62 COLUMBUS
OH OHIO 43209 US
THE NORTHERN TRUST COMPANY

https://www.northerntrust.com/united-states/contact-us-corporate-overview
333 South Wabash Ave, 32nd Floor Attn: Trade Securities Processing CHICAGO
IL ILLINOIS 60603 US
TRADESTATION SECURITIES, INC

corpactions@tradestation.com
120 RIVERSIDE PLAZA
SUITE 1650 CHICAGO IL ILLINOIS 60606 US
U.S. BANCORP INVESTMENTS, INC.
corporateactions@usbank.com
 
60 LIVINGSTON AVE
EP-MN-WN1B ST. PAUL
MN MINNESOTA 55107-1419 US
U.S. BANK N.A./ETF

https://www.usbank.com/investment-services/contact-us.html
 
1555 N RIVER CENTER DRIVE MILWAUKEE WI WISCONSIN 53212
U.S. BANK NATIONAL ASSOCIATION

https://www.usbank.com/investment-services/contact-us.html
1555 NORTH RIVERCENTER DRIVE, SUITE 302
SUITE 302 MILWAUKEE
WI WISCONSIN 53212 US
UBS AG

https://www.ubs.com/global/en/our-firm/locations.html
 
480 WASHINGTON BLVD.
12TH FLOOR JERSEY CITY NJ NEW JERSEY 07310 US
UBS FINANCIAL SERVICES INC.
comments@ubs.com




 
1000 HARBOR BOULEVARD WEEHAWKEN NJ NEW JERSEY
07086 US
UBS SECURITIES LLC

https://www.ubs.com/us/en/wealth-management/contact-us.html
 
677 WASHINGTON BLVD
STAMFORD
CT CONNECTICUT 06901 US

 

Broker Name Broker Address   Broker Name Broker Address
UMB BANK, NATIONAL ASSOCIATION
shareholder@computershare.com
 
928 GRAND BLVD KANSAS CITY MO MISSOURI 64106 US VANGUARD MARKETING CORPORATION

https://corporate.vanguard.com/content/corporatesite/us/en/corp/contact-us.html
100 VANGUARD BLVD MALVERN
PA PENNSYLVANIA 19355 US
VELOCITY CLEARING, LLC
Christopher.Felicetti@velocityclearingllc.com
 
1301 Route 36
Suite 109 (Attn: Chris Felicetti)
HAZLET
NEW JERSEY 7730 US
VELOX CLEARING LLC
dl-operations@velox-global.com
 
2400 E. KATELLA AVENUE
SUITE 725A ANAHEIM
CA CALIFORNIA 92806 US
VIRTU AMERICAS LLC

investor_relations@virtu.com
 
ONE LIBERTY PLAZA, 165 BROADWAY 5TH FLOOR NEW YORK NY NEW YORK
10006 US
VISION FINANCIAL MARKETS LLC
securitiesops@vfmarkets.com
 
4 HIGH RIDGE PARK SUITE 100 STAMFORD
CT CONNECTICUT 06905 US
WEDBUSH SECURITIES INC
reorg@wedbush.com
 
1000 WILSHIRE BLVD
8TH FLOOR LOS ANGELES
CA CALIFORNIA
90017 US
WEDBUSH SECURITIES INC.
reorg@wedbush.com
 
1000 WILSHIRE BLVD.
LOS ANGELES CA CALIFORNIA 90017 US
WELLS FARGO BANK, N.A./SIG

https://www.wellsfargo.com/help/contact-us/
 
733 MARQUETTE AVE 4TH FLOOR MAC N9306-04D MINNEAPOLIS
MN MINNESOTA 55402 US
WELLS FARGO CLEARING SERVICES LLC

https://www.wellsfargo.com/help/contact-us/
 
1 NORTH JEFFERSON MAIL CODE: H0006- 094
ST. LOUIS
MO MISSOURI 63103 US
WELLS FARGO SECURITIES, LLC

https://www.wellsfargo.com/help/contact-us/
 
1525 WEST W T HARRIS BLVD CHARLOTTE NC NORTH CAROLINA
28262 US
WILSON-DAVIS & CO., INC.
dfurlow@wdco.com
 
236 SOUTH MAIN STREET
SALT LAKE CITY UT UTAH
84101 US

About Sorrento Therapeutics, Inc.

Sorrento is a clinical and commercial stage biopharmaceutical company developing new therapies to treat cancer, pain (non-opioid treatments), autoimmune disease and COVID-19. Sorrento's multimodal, multipronged approach to fighting cancer is made possible by its extensive immuno-oncology platforms, including key assets such as Abivertinib, next-generation tyrosine kinase inhibitors (“TKIs”), fully human antibodies (“G-MAB™ library”), immuno-cellular therapies (“DAR-T™”), antibody-drug conjugates (“ADCs”), and oncolytic virus (“Seprehvec™”). Sorrento is also developing potential antiviral therapies and vaccines against coronaviruses, including STI-1558, COVI-MSC™; and diagnostic test solutions, including COVIMARK™.

Sorrento's commitment to life-enhancing therapies for patients is also demonstrated by our effort to advance a TRPV1 agonist, non-opioid pain management small molecule, resiniferatoxin (“RTX”), and SP-102 (10 mg, dexamethasone sodium phosphate viscous gel) (SEMDEXA™), a novel, viscous gel formulation of a widely used corticosteroid for epidural injections to treat lumbosacral radicular pain, or sciatica, and to commercialize ZTlido® (lidocaine topical system) 1.8% for the treatment of postherpetic neuralgia (PHN). RTX has been cleared for a Phase II trial for intractable pain associated with cancer and a Phase II trial in osteoarthritis patients. Positive final results from the Phase III Pivotal Trial C.L.E.A.R. Program for SEMDEXA™, its novel, non-opioid product for the treatment of lumbosacral radicular pain (sciatica), were announced in March 2022. ZTlido® was approved by the FDA on February 28, 2018.

For more information visit www.sorrentotherapeutics.com

Media and Investor Relations
Contact: Brian Cooley
Email: mediarelations@sorrentotherapeutics.com

Sorrento® and the Sorrento logo are registered trademarks of Sorrento Therapeutics, Inc.
G-MAB™, DAR-T™, Seprehvec™, SOFUSA™, COVI-MSC™, COVIMARK™, Ovydso™ and Fujovee™ are trademarks of Sorrento Therapeutics, Inc.
SEMDEXA™ (SP-102) is a trademark of Semnur Pharmaceuticals, Inc. A proprietary name review by the FDA is planned.
ZTlido® is a registered trademark owned by Scilex Pharmaceuticals Inc. All other trademarks are the property of their respective owners.
©2023 Sorrento Therapeutics, Inc. All Rights Reserved.


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Source: Sorrento Therapeutics, Inc.