UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event
reported):
(Exact name of registrant as specified in its charter)
|
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number,
including area code: (
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:
| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol | Name of each exchange on which registered | ||
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
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. ¨
Item 7.01. Regulation FD Disclosure.
On February 2, 2023, Sorrento Therapeutics, Inc. (the “Company”) posted under the “Investors” section of its website at www.sorrentotherapeutics.com a supplemental document containing additional information and responses (the “FAQ Supplement Disclosure”) to the frequently asked questions document that was issued by the Company on January 29, 2023 regarding the previously disclosed stock dividend consisting of an aggregate of 76,000,000 shares of common stock, par value $0.0001 per share, of Scilex Holding Company (“Scilex”) held by the Company. A copy of the FAQ Supplement Disclosure is (i) furnished herewith as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference and (ii) also posted under the “Investors” section of Scilex’s website at www.scilexholding.com. On February 2, 2023, the Company issued a press release regarding the FAQ Supplement Disclosure. A copy of the press release is furnished herewith as Exhibit 99.2 to this Current Report on Form 8-K.
The information under this Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.1 and Exhibit 99.2 hereto, is being furnished and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Securities Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act, whether made before or after the date hereof, except as shall be expressly set forth by specific reference in such a filing. This report will not be deemed an admission as to the materiality of any information required to be disclosed solely to satisfy the requirements of Regulation FD.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibit.
| 99.1 | FAQ Supplement Disclosure, dated February 2, 2023. |
| 99.2 | Press Release, dated February 2, 2023. |
| 104 | Cover Page Interactive Data File, formatted in Inline Extensible Business Reporting Language (iXBRL). |
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.
| SORRENTO THERAPEUTICS, INC. |
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| Date: February 2, 2023 | By: | /s/ Henry Ji, Ph.D. | |
| Name: Henry Ji, Ph.D. | |||
| Title: Chairman of the Board, President and Chief Executive Officer | |||
Exhibit 99.1
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sorrentotherapeutics.com
4955 Directors Place San Diego, CA 92121 |
SUPPLEMENT TO
FREQUENTLY ASKED QUESTIONS
REGARDING THE DIVIDEND OF SCILEX HOLDING COMPANY COMMON STOCK BY SORRENTO THERAPEUTICS, INC.
This supplement is a supplement to the Frequently Asked Questions Regarding the Dividend of Scilex Holding Company Common Stock by Sorrento Therapeutics, Inc. (Sorrento) that was issued by Sorrento on January 29, 2023 (the FAQ), a copy of which can be found under the “Investors” section of its website at www.sorrentotherapeutics.com.
This supplement is being issued to update and supplement the information in the FAQ to notify investors regarding certain matters relating to the dividend and reiterate certain questions and answers from the FAQ. Capitalized terms used in this supplement shall have their respective meetings set forth in the FAQ.
NOTICE OF REMOVAL OF CONTRA-CUSIP BY DTCC
Effective as of February 2, 2023, the Depository Trust and Clearing Corporation (DTCC) has removed the “contra-CUSIP” that it had previously imposed on the Dividend Stock. Any shares of Dividend Stock held by your brokerage firm, bank, dealer or other similar organization for your benefit now bear only Scilex’s CUSIP number, which is 80880W106. If you are entitled to receive Dividend Stock, please contact your brokerage firm, bank, or other similar organization immediately to confirm that the CUSIP number appears on your brokerage statement with respect to your Dividend Stock.
NOTICE TO BROKERAGE FIRMS, BANKS, DEALERS AND OTHER SIMILAR ORGANIZATIONS
If the name of your firm, bank or other similar organization is set forth on Annex B of the FAQ, which Annex B is repeated below for convenience, and your firm, bank or similar organization has not received the Dividend Confirmation that was mailed to your firm, bank or similar organization, please contact Scilex’s transfer agent immediately to obtain a copy of the Dividend Confirmation. Please note that copies of the Dividend Confirmations mailed to the organizations set forth on Annex B are set forth on Annex B-1. Scilex’s transfer agent’s contact information is as follows:
Continental Stock Transfer & Trust Company
Telephone Number: 800-509-5586
Email Address: cstmail@continentalstock.com
Several major brokers have confirmed to Sorrento and Scilex that they are adding the Scilex share positions to the individual brokerage accounts of Sorrento shareholders receiving the Dividend Stock.
SUPPLEMENTAL QUESTION AND ANSWER
| Q: | If I loaned my shares of Sorrento common stock to short sellers or any other party as of the Record Date, am I still entitled to receive Dividend Stock as of the Payment Date? |
| A: | Only Record Holders as of the Record Date are entitled to receive the Dividend Stock. If you were the Record Holder as of the Record Date and are entitled to receive the Dividend Stock, but have not received the Dividend Stock, you may be entitled to receive Dividend Stock from the short seller or other party who borrowed your shares of Sorrento common stock, whether through the lending programs implemented by your brokerage firm, bank, dealer and other similar organization or otherwise. If you were a Record Holder as of the Record Date and have not received your Dividend Stock, please consult with your financial advisor, broker or other agent immediately to determine how to receive your Dividend Stock. |
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Annex B
Broker List
| Broker Name | Broker Address | Broker Name | Broker Address | |
| ABN AMRO CLEARING CHICAGO LLC | 175 WEST JACKSON BLVD. CHICAGO IL ILLINOIS 60604 US |
Albert Fried & Company LLC |
45 BROADWAY, 24TH FLOOR 24TH FLOOR NEW YORK NY NEW YORK 10006 US | |
| AMALGAMATED BANK | 275 7TH AVENUE NEW YORK NY NEW YORK 10003 US |
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 682 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN MINNESOTA 55474 US | |
| APEX CLEARING CORPORATION | 2 GATEWAY CENTER 283-299 MARKET ST 16TH FLOOR NEWARK NJ NEW JERSEY 07102-5005 US |
BANK OF AMERICA, NA/GWIM TRUST OPERATIONS | 901 MAIN STREET 12TH FLOOR DALLAS TX TEXAS 23113 US | |
| BANK OF NEW YORK MELLON | 111 SANDERS CREEK PARKWAY 2ND FLOOR 2ND FLOOR EAST SYRACUSE NY NEW YORK 13057 US. |
BARCLAYS CAPITAL INC. |
DTC CUSTODY PARTICIPANT- NY WINDOW -570 WASHINGTON BLVD (ATTN: ROSA HICKS-MILLER OR ROBERT MENDEZ JERSEY CITY NJ NEW JERSEY 07310 US |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| BARCLAYS CAPITAL INC. |
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. |
3 2ND STREET 12TH FLOOR JERSEY CITY NJ NEW JERSEY 07302 US | |
| BMO HARRIS BANK NA/TRUST |
11270 W PARK PL MILWAUKEE WI WISCONSIN 53224 US |
BMO Nesbitt Burns Inc., Toronto |
250 YONGE STREET, 7TH FLOOR 7TH FLOOR TORONTO ON ONTARIO M5B 2M8 CA CANADA | |
| BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE CUSTODIAN | 100 WEST 33RD STREET 3RD FLOOR NEW YORK NY NEW YORK 10001 |
BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE CUSTODIAN | 100 WEST 33RD STREET 3RD FLOOR NEW YORK NY NEW YORK 10001 | |
| BNY MELLON | PO BOX 392002 500 ROSS STREET PITTSBURGH PA PENNSYLVANIA 15262 US |
BNY MELLON/WEALTH MANAGEMENT | 1 FREEDOM VALLEY DRIVE OAKS PA PENNSYLVANIA 19456 US | |
| BNYMELLON | 111 SANDERS CREEK PARKWAY 2ND FLOOR 2ND FLOOR EAST SYRACUSE NY NEW YORK 13057 US |
BNYMELLON/RE BARCLAYS CAPITAL SECURITIES LTD. | ONE WALL STREET NEW YORK NY NEW YORK 10286 | |
| BNYMELLON/RE CACEIS BANK LUXEMBOURG | 500 Grant St. BNY Mellon Center PITTSBURGH PA PENNSYLVANIA 15258 |
BNYMELLON/RE CACEIS BANK, NETHERLANDS | 111 SANDERS CREEK PARKWAY EAST SYRACUSE NY NEW YORK 13057 |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| BNYMELLON/RE CHARLES STANLEY AND COMPANY, LIMITED | 111 SANDERS CREEK PARKWAY 2ND FLOOR 2ND FLOOR EAST SYRACUSE NY NEW YORK 13057 US |
BNYMELLON/RE ETF - ISHARES DTC/NSCC | 111 SANDERS CREEK PARKWAY EAST SYRACUSE NY NEW YORK 13057 | |
| BNYMELLON/RE WINTERFLOOD SECURITIES LTD | 500 Grant St. BNY Mellon Center PITTSBURGH PA PENNSYLVANIA 15258 |
BOFA | 4804 Deer Lake Drive East FL9-803-04-04- 4th floor JACKSONVILLE FL FLORIDA 32246 US | |
| BOFA | 4804 Deer Lake Drive East FL9-803-04-04- 4th floor JACKSONVILLE FL FLORIDA 32246 US |
BOFA SECURITIES INC | 4804 Deer Lake Drive East FL9-803-04-04- 4th floor JACKSONVILLE FL FLORIDA 32246 US | |
| BROWN BROTHERS HARRIMAN & CO. | 140 BROADWAY ATTN: CORPORATE ACTIONS VAULT NEW YORK NY NEW YORK 10005 US |
BROWN BROTHERS HARRIMAN & CO./ETF | 140 BROADWAY NEW YORK NY NEW YORK 10005 | |
| CALDWELL SECURITIES LTD./CDS** | 55 UNIVERSITY AVENUE SUITE 340 TORONTO ON ONTARIO M5J 2H7 CANADA |
CANACCORD GENUITY CORP. | 609 GRANVILLE ST VANCOUVER BC BRITISH COLUMBIA V7Y 1H2 CA CANADA | |
| CANTOR, FITZGERALD & CO. | 135 E 57TH ST 5TH FL NEW YORK NY NEW YORK 10041 US |
CDS CLEARING AND DEPOSITORY SERVICES INC. | 100 ADELAIDE STREET WEST TORONTO ON ONTARIO M5H 1S3 CA CANADA |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| CETERA INVESTMENT SERVICES LLC | 400 FIRST STREET SOUTH, SUITE 300 SUITE 300 ST. CLOUD MN MINNESOTA 56302-0283 US |
CHARLES SCHWAB & CO., INC. | 211 MAIN STREET SAN FRANCISCO CA CALIFORNIA 94105 US | |
| CI INVESTMENT SERVICES INC. | 199 BAY STREET SUITE 2600 TORONTO ON ONTARIO M5L 1E2 CA CANADA |
CIBC WORLD MARKETS INC./CDS** | 161 BAY STREET 10 FL TORONTO ON ONTARIO M5J 2S8 CA CANADA | |
| CITIBANK, N.A./ETF | 3800 CITIGROUP CENTER B2/2 TAMPA FL FLORIDA 33610 |
CITIBANK, NATIONAL ASSOCIATION | 3800 CITIBANK CENTER TAMPA BLDG.B FIRST FLOOR ZONE 8 TAMPA FL FLORIDA 33610-9122 US | |
| CITIGROUP GLOBAL MARKETS, INC. | 580 CROSSPOINT PARKWAY GETZVILLE NY NEW YORK 14068 US |
CLEAR STREET LLC | 4 World Trade Center, 45th Floor 150 Greenwich Street NEW YORK NY NEW YORK 10007 | |
| CLEARSTREET IO | 55 BROADWAY (SUITE 2102) CORPORATE ACTIONS NEW YORK NEW YORK 10006 US |
COMMERCE BANK | 922 WALNUT STREET MAIL STOP TBTS-2 KANSAS CITY MO MISSOURI 64106 US | |
| COR CLEARING LLC | 9300 UNDERWOOD AVE SUITE 400 OMAHA NE NEBRASKA 68114 US |
Credential Securities Inc. | 800-1111 WEST GEORGIA STREET VANCOUVER BC BRITISH COLUMBIA V6E 4T6 CA CANADA |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| CREST INTERNATIONAL NOMINEES LIMITED | 33 CANNON STREET LONDON EC4M 5SB GB UNITED KINGDO |
CURVATURE SECURITIES, LLC | 39 MAIN STREET CHATHAM NJ NEW JERSEY 07928 US | |
| D.A. DAVIDSON & CO. | 8 3RD STREET NORTH GREAT FALLS MT MONTANA 59401 US |
DEPOSITO CENTRAL DE VALORES S.A., DEPOSITO DE VALORES | AVENIDA APOQUINDO # 4001 FLOOR 12, C.P. 7550162, SANTIAGO CL CHILE | |
| DESJARDINS SECURITIES INC. | 1253 McGill College 10TH FLOOR MONTREAL QUEBEC H3B 2Y5 CA CANADA |
DEUTSCHE BANK AG NY/US CUSTODY | 1251 Avenue Of The Americas NEW YORK NY NEW YORK 10020 | |
| DEUTSCHE BANK SECURITIES INC. | 60 WALL STREET 9TH FLOOR NEW YORK NY NEW YORK 10005 US |
DRIVEWEALTH, LLC | 15 EXCHANGE PLACE 10TH FLOOR JERSEY CITY NEW JERSEY 07302 | |
| E*TRADE CLEARING LLC | HARBORSIDE FINANCIAL CENTER 501 PLAZA 11 JERSEY CITY NJ NEW JERSEY 07311 US |
EDWARD D. JONES & CO., L.P. | 12555 MANCHESTER ROAD ST. LOUIS MO MISSOURI 63131-3729 US | |
| EDWARD D. JONES & CO., L.P. | 201 PROGRESS PARKWAY MARYLAND HEIGHTS MO MISSOURI 63043 US |
FIDELITY CLEARING CANADA ULC/CDS** | 483 BAY ST. SOUTH TOWER TORONTO ON ONTARIO M5G2N7 CA CANADA |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| FIFTH THIRD BANK | 5001 KINGSLEY DRIVE MAIL DROP 1MOB28 CINCINNATI OH OHIO 45227 US |
FOLIO INVESTMENTS, INC. | 8180 GREENSBORO DRIVE 8TH FLOOR MCLEAN VA VIRGINIA 22102 US | |
| FUTU CLEARING INC. | 12750 Merit Drive SUITE 475 DALLAS TX TEXAS 75251 |
GMP SECURITIES L.P. | 145 KING STREET WEST, SUITE 300 11TH FLOOR TORONTO ON ONTARIO MJ5 1J8 CA CANADA | |
| GOLDMAN, SACHS & CO. LLC | 222 SOUTH MAIN STREET Attn: Mandatory Corporate Actions SALT LAKE CITY UT UTAH 84101 US |
HAYWOOD SECURITIES INC./CDS** | 200 BURRARD ST WATERFRONT CENTRE SUITE 700 VANCOUVER BC BRITISH COLUMBIA V6C 3L6 CANADA | |
| HILLTOP SECURITIES INC. | 1201 ELM ST. 35TH FLOOR DALLAS TX TEXAS 75270 US |
HRT FINANCIAL LLC | 150 GREENWICH STREET (ATTN: SETTLEMENT) FOUR WORLD TRADE CENTER 57TH FLOOR NEW YORK NY NEW YORK 10007 US | |
| HSBC BANK USA, NA/HSBC CUSTODY & CLEARING SERVICES FOR STOCK LOAN | 452 FIFTH AVENUE ATTN: HBUS CCS SETTS NEW YORK NY NEW YORK 10018 US |
HSBC BANK USA, NATIONAL ASSOCIATION | 452 FIFTH AVENUE ATTN: HBUS CCS SETTS NEW YORK NEW YORK 10018 US | |
| INTERACTIVE BROKERS LLC | 2 PICKWICK PLAZA 2ND FLOOR GREENWICH CT CONNECTICUT 06830 US |
J.P. MORGAN CHASE BANK NA/FBO BLACKROCK CTF | 1111 POLARIS PARKWAY COLUMBUS OH OHIO 43240 |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| J.P. MORGAN CLEARING CORP. | FOUR CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11201 US |
JANNEY MONTGOMERY SCOTT LLC | 1717 ARCH STREET 17TH FLOOR PHILADELPHIA PA PENNSYLVANIA 19103 US | |
| JEFFERIES LLC | 101 HUDSON STREET, 11th Floor NEW JERSEY NJ NEW JERSEY 07302 US |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION | FOUR CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11201 US | |
| JPMORGAN CHASE BANK/EUROCLEAR BANK | FOUR CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11245 US |
JPMORGAN CHASE BANK/IA | FOUR CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11201 US | |
| KEYBANK NATIONAL ASSOCIATION | 4900 TIEDEMAN RD BROOKLYN OH OHIO 44144 US |
LAURENTIAN BANK SECURITIES INC. | 1981 MCGILL COLLEGE AVE. SUITE 100 MONTREAL QUEBEC H3A 3K3 CA CANADA | |
| LPL FINANCIAL LLC | 4707 EXECUTIVE DRIVE SAN DIEGO CA CALIFORNIA 92121 US |
MANUFACTURERS AND TRADERS TRUST COMPANY | ONE M&T PLAZA TRUST OPS 8TH FLOOR BUFFALO NY NEW YORK 14203 US | |
| MANULIFE SECURITIES INCORPORATED | 1235 NORTH SERVICE ROAD WEST OAKVILLE ON ONTARIO L6M 2W2 CA CANADA |
MARSCO INVESTMENT CORPORATION | 101 EISENHOWER PARKWAY ROSELAND NJ NEW JERSEY 07068 US | |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 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 | 810 SEVENTH AVE 37TH FLOOR NEW YORK NY NEW YORK 10019 |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| MIRAE ASSET SECURITIES (USA), INC. | 810 SEVENTH AVE 37TH FLOOR NEW YORK NY NEW YORK 10019 |
MITSUBISHI UFJ TRUST & BANKING CORPORATION, NEW YORK BRANCH | 280 PARK AVE 39TH FL-WEST BLDG NEW YORK NY NEW YORK 10017 | |
| Morgan Stanley | 1300 THAMES STREET THAMES STREET WHARF BALTIMORE MD MARYLAND 21231 US |
MORGAN STANLEY & CO. LLC | 1300 THAMES ST. BALTIMORE MD MARYLAND | |
| MORGAN STANLEY SMITH BARNEY LLC | 1 NEW YORK PLAZA 39TH FLOOR NEW YORK NY NEW YORK 10004 US |
MURIEL SIEBERT & CO., INC. | 77 SUMMER STREET 3RD FLOOR BOSTON MA MASSACHUSETTS 02210 US | |
| NATIONAL FINANCIAL SERVICES LLC | 499 WASHINGTON BOULEVARD 5TH FLOOR JERSEY CITY NJ NEW JERSEY 07310 US |
NBCN INC. | 1010 rue De La Gauchetière Mezzanine 100 MONTREAL QUEBEC H3B 5J2 CA CANADA | |
| NOMURA INTERNATIONAL TRUST COMPANY | 309 WEST 49TH STREET 10TH FLOOR NEW YORK NY NEW YORK 10019 US |
ODLUM BROWN LIMITED | 250 HOWE STREET SUITE 1100 VANCOUVER BC BRITISH COLUMBIA V6C 3R8 CA CANADA | |
| OPPENHEIMER & CO. INC. | 85 BROAD STREET NEW YORK NY NEW YORK 10004 US |
PERSHING LLC | 1 PERSHING PLAZA JERSEY CITY NJ NEW JERSEY 07399 US |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| PHILLIP CAPITAL INC. | 141 W. JACKSON BLVD. SUITE 3050 CHICAGO IL ILLINOIS 60604 US |
PI FINANCIAL CORP. | 666 BURRARD ST SUITE 1900 VANCOUVER BC BRITISH COLUMBIA V6C 3N1 CA CANADA | |
| PNC BANK, NATIONAL ASSOCIATION | 4100 W 150TH STREET ASSET MOVEMENT TEAM 3RD FL, LOCATOR B7-YB17-03-03 CLEVELAND OH OHIO 44135 US |
PRINCIPAL BANK | 711 HIGH STREET DES MOINES IA IOWA 50392 | |
| QUESTRADE INC./CDS** | 5650 YONGE ST., Suite 1700 TORONTO ON ONTARIO M2M 4G3 CA CANADA |
Raymond James & Associates, Inc. | 880 CARILLON PKWY ST. PETERSBURG FL FLORIDA 33733-2749 US | |
| RAYMOND JAMES LTD. | 925 WEST GEORGIA STREET SUITE 2200 VANCOUVER BC BRITISH COLUMBIA V6C 3L2 CA CANADA |
RBC CAPITAL MARKETS, LLC | 60 SOUTH 6TH ST. MINNEAPOLIS MN MINNESOTA 55402 US | |
| RBC DOMINION SECURITIES INC | 21 COMMERCE COURT SOUTH 2ND FLOOR TORONTO ON ONTARIO M5L 1A7 CANADA |
RELIANCE TRUST COMPANY | 1100 ABERNATHY RD. 500 NORTHPARK SUITE 400 ATLANTA GA GEORGIA 30113 US | |
| RELIANCE TRUST COMPANY | 4900 W. BROWN DEER RD MILWAUKEE WI WISCONSIN 53223 US |
ROBERT W. BAIRD & CO. INCORPORATED | 777 E WISCONSIN AVE 9TH FLOOR MILWAUKEE WI WISCONSIN 53202 US |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| ROBINHOOD SECURITIES, LLC | 500 COLONIAL CENTER PARKWAY SUITE 100 LAKE MARY FL FLORIDA 32746 US |
SAFRA SECURITIES LLC | 546 5TH AVENUE NEW YORK NY NEW YORK 10036 US | |
| SCOTIA CAPITAL (USA) INC. | 150 KING STREET W 5TH FLOOR TORONTO ON ONTARIO M5H 1J9 CA CANADA |
SEI PRIVATE TRUST COMPANY | 1 FREEDOM VALLEY DRIVE OAKS PA PENNSYLVANIA 19456 US | |
| SEI PRIVATE TRUST COMPANY | 1 FREEDOM VALLEY DRIVE OAKS PA PENNSYLVANIA 19456 US |
SG AMERICAS SECURITIES, LLC | 480 WASHINGTON BLVD. 20TH FLOOR JERSEY CITY NJ NEW JERSEY 07310 US | |
| SSB - BLACKROCK INSTITUTIONAL TRUST | 50 California Street San Francisco CA CALIFORNIA 94163 |
SSB - TRUST CUSTODY | 30 ADELAIDE ST EAST SUITE 800 TORONTO ON ONTARIO M5C 3G6 CA CANADA | |
| SSB&T CO/CLIENT CUSTODY SERVICES | 1776 HERITAGE DRIVE NORTH QUINCY MA MASSACHUSETTS 02171 |
STATE STREET BANK & TRUST CO | 16 WALL STREET 5TH FLOOR NEW YORK NY NEW YORK 10005 US | |
| STATE STREET BANK & TRUST COMPANY / ISHARES EUROPE | 1776 HERITAGE DRIVE NORTH QUINCY MA MASSACHUSETTS 02171 |
STATE STREET BANK & TRUST/STATE STREET TOTALETF | 1776 Heritage Drive NORTH QUINCY MA MASSACHUSETTS 02717 | |
| STATE STREET BANK AND TRUST COMPANY | 30 ADELAIDE ST EAST SUITE 800 TORONTO ON ONTARIO M5C 3G6 CA CANADA |
STIFEL, NICOLAUS & COMPANY, INCORPORATED | 501 N BROADWAY ST. LOUIS MO MISSOURI 63102 US |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| STONEX FINANCIAL INC. | 2 PERIMETER PARK SOUTH SUITE 100 W BIRMINGHAM AL ALABAMA 35243 US |
TD AMERITRADE CLEARING, INC. | 200 S 108TH AVE OMAHA NE NEBRASKA 68154 US | |
| TD WATERHOUSE CANADA INC ATTN: MANDATORY CORPORATE ACTIONS |
77 BLOOR STREET WEST 3RD FLOOR TORONTO ON ONTARIO M5S 1M2 CA CANADA |
TEXAS TREASURY SAFEKEEPING TRUST COMPANY | 208 E 10TH ST AUSTIN TX TEXAS 78701 US | |
| THE BANK OF NEW YORK MELLON | 500 GRANT STREET 27TH FLOOR PITTSBURGH PA PENNSYLVANIA 15258 US |
THE HUNTINGTON NATIONAL BANK | 7 EASTON OVAL EA4E62 COLUMBUS OH OHIO 43209 US | |
| THE NORTHERN TRUST COMPANY | 333 South Wabash Ave, 32nd Floor Attn: Trade Securities Processing CHICAGO IL ILLINOIS 60603 US |
TRADESTATION SECURITIES, INC. | 120 RIVERSIDE PLAZA SUITE 1650 CHICAGO IL ILLINOIS 60606 US | |
| U.S. BANCORP INVESTMENTS, INC. | 60 LIVINGSTON AVE EP-MN-WN1B ST. PAUL MN MINNESOTA 55107-1419 US |
U.S. BANK N.A./ETF | 1555 N RIVER CENTER DRIVE MILWAUKEE WI WISCONSIN 53212 | |
| U.S. BANK NATIONAL ASSOCIATION | 1555 NORTH RIVERCENTER DRIVE, SUITE 302 SUITE 302 MILWAUKEE WI WISCONSIN 53212 US |
UBS AG | 480 WASHINGTON BLVD. 12TH FLOOR JERSEY CITY NJ NEW JERSEY 07310 US |
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| Broker Name | Broker Address | Broker Name | Broker Address |
| UBS FINANCIAL SERVICES INC. | 1000 HARBOR BOULEVARD WEEHAWKEN NJ NEW JERSEY 07086 US |
UBS SECURITIES LLC | 677 WASHINGTON BLVD STAMFORD CT CONNECTICUT 06901 US | |
| UMB BANK, NATIONAL ASSOCIATION | 928 GRAND BLVD KANSAS CITY MO MISSOURI 64106 US |
VANGUARD MARKETING CORPORATION | 100 VANGUARD BLVD MALVERN PA PENNSYLVANIA 19355 US | |
| VELOCITY CLEARING, LLC | 1301 Route 36 Suite 109 (Attn: Chris Felicetti) HAZLET NEW JERSEY 7730 US |
VELOX CLEARING LLC | 2400 E. KATELLA AVENUE SUITE 725A ANAHEIM CA CALIFORNIA 92806 US | |
| VIRTU AMERICAS LLC | ONE LIBERTY PLAZA, 165 BROADWAY 5TH FLOOR NEW YORK NY NEW YORK 10006 US |
VISION FINANCIAL MARKETS LLC | 4 HIGH RIDGE PARK SUITE 100 STAMFORD CT CONNECTICUT 06905 US | |
| WEDBUSH SECURITIES INC | 1000 WILSHIRE BLVD 8TH FLOOR LOS ANGELES CA CALIFORNIA 90017 US |
WEDBUSH SECURITIES INC. | 1000 WILSHIRE BLVD. LOS ANGELES CA CALIFORNIA 90017 US | |
| WELLS FARGO BANK, N.A./SIG | 733 MARQUETTE AVE 4TH FLOOR MAC N9306-04D MINNEAPOLIS MN MINNESOTA 55402 US |
WELLS FARGO CLEARING SERVICES LLC | 1 NORTH JEFFERSON MAIL CODE: H0006-094 ST. LOUIS MO MISSOURI 63103 US | |
| WELLS FARGO SECURITIES, LLC | 1525 WEST W T HARRIS BLVD CHARLOTTE NC NORTH CAROLINA 28262 US |
WILSON-DAVIS & CO., INC. | 236 SOUTH MAIN STREET SALT LAKE CITY UT UTAH 84101 US |
Exhibit 99.2
FOR IMMEDIATE RELEASE
February 2, 2023
Sorrento Issues Supplement to its Previously Issued “FAQ” Regarding the Dividend of Scilex Holding Company Common Stock
SAN DIEGO, February 2, 2023 (GLOBE NEWSWIRE) -- Sorrento Therapeutics, Inc. (Nasdaq: SRNE, “Sorrento”) today posted a supplement to its previously issued “Frequently Asked Questions” document under the “Investors” section of its website at www.sorrentotherapeutics.com regarding its recent dividend to Sorrento stockholders of shares of common stock of Scilex Holding Company held by Sorrento.
The supplement to the FAQs provides notice regarding the Depository Trust and Clearing Corporation’s removal of the contra-CUSIP on Scilex common stock that was distributed as a dividend to Sorrento’s stockholders and provides notice to brokerage firms, banks, dealers and similar organizations listed therein that a dividend confirmation had previously been distributed to such firms by Scilex’s transfer agent and requests that such firms contact Scilex’s transfer agent if they have not received such confirmation. The supplement also reiterates a question related to issues that may arise with respect to the dividend in connection with short positions in Sorrento common stock.
The supplement to the FAQs and related annex are included in this press release and can also be found here.
SUPPLEMENT TO
FREQUENTLY ASKED QUESTIONS
REGARDING THE DIVIDEND OF SCILEX HOLDING COMPANY COMMON STOCK BY SORRENTO THERAPEUTICS, INC.
This supplement is a supplement to the Frequently Asked Questions Regarding the Dividend of Scilex Holding Company Common Stock by Sorrento Therapeutics, Inc. (Sorrento) that was issued by Sorrento on January 29, 2023 (the FAQ), a copy of which can be found under the “Investors” section of its website at www.sorrentotherapeutics.com. This supplement is being issued to update and supplement the information in the FAQ to notify investors regarding certain matters relating to the dividend and reiterate certain questions and answers from the FAQ. Capitalized terms used in this supplement shall have their respective meetings set forth in the FAQ.
NOTICE OF REMOVAL OF CONTRA-CUSIP BY DTCC
Effective as of February 2, 2023, the Depository Trust and Clearing Corporation has removed the “contra-CUSIP” that it had previously imposed on the Dividend Stock. Any shares of Dividend Stock held by your brokerage firm, bank, dealer or other similar organization for your benefit now bear only Scilex’s CUSIP number, which is 80880W106. If you are entitled to receive Dividend Stock, please contact your brokerage firm, bank, or other similar organization immediately to confirm that the CUSIP number appears on your brokerage statement with respect to your Dividend Stock.
NOTICE TO BROKERAGE FIRMS, BANKS, DEALERS AND OTHER SIMILAR ORGANIZATIONS
If the name of your firm, bank or other similar organization is set forth on Annex B of the FAQ, which Annex B is repeated below for convenience, and your firm, bank or similar organization has not received the Dividend Confirmation that was mailed to your firm, bank or similar organization, please contact Scilex’s transfer agent immediately to obtain a copy of the Dividend Confirmation. Please note that copies of the Dividend Confirmations mailed to the organizations set forth on Annex B are set forth on Annex B-1. Scilex’s transfer agent’s contact information is as follows:
Continental Stock Transfer & Trust Company
Telephone Number: 800-509-5586
Email Address: cstmail@continentalstock.com
Several major brokers have confirmed to Sorrento and Scilex that they are adding the Scilex share positions to the individual brokerage accounts of Sorrento shareholders receiving the Dividend Stock.
SUPPLEMENTAL QUESTION AND ANSWER
| Q: | If I loaned my shares of Sorrento common stock to short sellers or any other party as of the Record Date, am I still entitled to receive Dividend Stock as of the Payment Date? |
| A: | Only Record Holders as of the Record Date are entitled to receive the Dividend Stock. If you were the Record Holder as of the Record Date and are entitled to receive the Dividend Stock, but have not received the Dividend Stock, you may be entitled to receive Dividend Stock from the short seller or other party who borrowed your shares of Sorrento common stock, whether through the lending programs implemented by your brokerage firm, bank, dealer and other similar organization or otherwise. If you were a Record Holder as of the Record Date and have not received your Dividend Stock, please consult with your financial advisor, broker or other agent immediately to determine how to receive your Dividend Stock. |
Annex B
Broker List
| Broker Name | Broker Address | Broker Name | Broker Address | |
| ABN AMRO CLEARING CHICAGO LLC | 175
WEST JACKSON BLVD. CHICAGO IL ILLINOIS 60604 US |
Albert Fried & Company LLC | 45
BROADWAY, 24TH FLOOR 24TH FLOOR NEW YORK NY NEW YORK 10006 US | |
| AMALGAMATED BANK | 275
7TH AVENUE NEW YORK NY NEW YORK 10003 US |
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | 682
AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN MINNESOTA 55474 US | |
| APEX CLEARING CORPORATION | 2
GATEWAY CENTER 283-299 MARKET ST 16TH FLOOR NEWARK NJ NEW JERSEY 07102-5005 US |
BANK OF AMERICA, NA/GWIM TRUST OPERATIONS | 901
MAIN STREET 12TH FLOOR DALLAS TX TEXAS 23113 US |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| BANK OF NEW YORK MELLON | 111
SANDERS CREEK PARKWAY 2ND FLOOR 2ND FLOOR EAST SYRACUSE NY NEW YORK 13057 US. |
BARCLAYS CAPITAL INC. | 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. | 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. | 3
2ND STREET 12TH FLOOR JERSEY CITY NJ NEW JERSEY 07302 US | |
| BMO HARRIS BANK NA/TRUST | 11270
W PARK PL MILWAUKEE WI WISCONSIN 53224 US |
BMO Nesbitt Burns Inc., Toronto | 250
YONGE STREET, 7TH FLOOR 7TH FLOOR TORONTO ON ONTARIO M5B 2M8 CA CANADA | |
| BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE CUSTODIAN | 100
WEST 33RD STREET 3RD FLOOR NEW YORK NY NEW YORK 10001 |
BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE CUSTODIAN | 100
WEST 33RD STREET 3RD FLOOR NEW YORK NY NEW YORK 10001 | |
| BNY MELLON | PO
BOX 392002 500 ROSS STREET PITTSBURGH PA PENNSYLVANIA 15262 US |
BNY MELLON/WEALTH MANAGEMENT | 1
FREEDOM VALLEY DRIVE OAKS PA PENNSYLVANIA 19456 US | |
| BNYMELLON | 111
SANDERS CREEK PARKWAY 2ND FLOOR 2ND FLOOR EAST SYRACUSE NY NEW YORK 13057 US |
BNYMELLON/RE BARCLAYS CAPITAL SECURITIES LTD. | ONE
WALL STREET NEW YORK NY NEW YORK 10286 | |
| BNYMELLON/RE CACEIS BANK LUXEMBOURG | 500
Grant St. BNY Mellon Center PITTSBURGH PA PENNSYLVANIA 15258 |
BNYMELLON/RE CACEIS BANK, NETHERLANDS | 111
SANDERS CREEK PARKWAY EAST SYRACUSE NY NEW YORK 13057 |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| BNYMELLON/RE CHARLES STANLEY AND COMPANY, LIMITED | 111
SANDERS CREEK PARKWAY 2ND FLOOR 2ND FLOOR EAST SYRACUSE NY NEW YORK 13057 US |
BNYMELLON/RE ETF - ISHARES DTC/NSCC | 111
SANDERS CREEK PARKWAY EAST SYRACUSE NY NEW YORK 13057 | |
| BNYMELLON/RE WINTERFLOOD SECURITIES LTD | 500
Grant St. BNY Mellon Center PITTSBURGH PA PENNSYLVANIA 15258 |
BOFA | 4804
Deer Lake Drive East FL9-803-04-04- 4th floor JACKSONVILLE FL FLORIDA 32246 US | |
| BOFA | 4804
Deer Lake Drive East FL9-803-04-04- 4th floor JACKSONVILLE FL FLORIDA 32246 US |
BOFA SECURITIES INC | 4804
Deer Lake Drive East FL9-803-04-04- 4th floor JACKSONVILLE FL FLORIDA 32246 US | |
| BROWN BROTHERS HARRIMAN & CO. | 140
BROADWAY ATTN: CORPORATE ACTIONS VAULT NEW YORK NY NEW YORK 10005 US |
BROWN BROTHERS HARRIMAN & CO./ETF | 140
BROADWAY NEW YORK NY NEW YORK 10005 | |
| CALDWELL SECURITIES LTD./CDS** | 55
UNIVERSITY AVENUE SUITE 340 TORONTO ON ONTARIO M5J 2H7 CANADA |
CANACCORD GENUITY CORP. | 609
GRANVILLE ST VANCOUVER BC BRITISH COLUMBIA V7Y 1H2 CA CANADA | |
| CANTOR, FITZGERALD & CO. | 135
E 57TH ST 5TH FL NEW YORK NY NEW YORK 10041 US |
CDS CLEARING AND DEPOSITORY SERVICES INC. | 100
ADELAIDE STREET WEST TORONTO ON ONTARIO M5H 1S3 CA CANADA | |
| CETERA INVESTMENT SERVICES LLC | 400
FIRST STREET SOUTH, SUITE 300 SUITE 300 ST. CLOUD MN MINNESOTA 56302-0283 US |
CHARLES SCHWAB & CO., INC. | 211
MAIN STREET SAN FRANCISCO CA CALIFORNIA 94105 US | |
| CI INVESTMENT SERVICES INC. | 199
BAY STREET SUITE 2600 TORONTO ON ONTARIO M5L 1E2 CA CANADA |
CIBC WORLD MARKETS INC./CDS** | 161
BAY STREET 10 FL TORONTO ON ONTARIO M5J 2S8 CA CANADA |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| CITIBANK, N.A./ETF | 3800
CITIGROUP CENTER B2/2 TAMPA FL FLORIDA 33610 |
CITIBANK, NATIONAL ASSOCIATION | 3800
CITIBANK CENTER TAMPA BLDG.B FIRST FLOOR ZONE 8 TAMPA FL FLORIDA 33610-9122 US | |
| CITIGROUP GLOBAL MARKETS, INC. | 580
CROSSPOINT PARKWAY GETZVILLE NY NEW YORK 14068 US |
CLEAR STREET LLC | 4
World Trade Center, 45th Floor 150 Greenwich Street NEW YORK NY NEW YORK 10007 | |
| CLEARSTREET IO | 55
BROADWAY (SUITE 2102) CORPORATE ACTIONS NEW YORK NEW YORK 10006 US |
COMMERCE BANK | 922
WALNUT STREET MAIL STOP TBTS-2 KANSAS CITY MO MISSOURI 64106 US | |
| COR CLEARING LLC | 9300
UNDERWOOD AVE SUITE 400 OMAHA NE NEBRASKA 68114 US |
Credential Securities Inc. | 800-1111
WEST GEORGIA STREET VANCOUVER BC BRITISH COLUMBIA V6E 4T6 CA CANADA | |
| CREST INTERNATIONAL NOMINEES LIMITED | 33
CANNON STREET LONDON EC4M 5SB GB UNITED KINGDO |
CURVATURE SECURITIES, LLC | 39
MAIN STREET CHATHAM NJ NEW JERSEY 07928 US | |
| D.A. DAVIDSON & CO. | 8
3RD STREET NORTH GREAT FALLS MT MONTANA 59401 US |
DEPOSITO CENTRAL DE VALORES S.A., DEPOSITO DE VALORES | AVENIDA
APOQUINDO # 4001 FLOOR 12, C.P. 7550162, SANTIAGO CL CHILE | |
| DESJARDINS SECURITIES INC. | 1253
McGill College 10TH FLOOR MONTREAL QUEBEC H3B 2Y5 CA CANADA |
DEUTSCHE BANK AG NY/US CUSTODY | 1251
Avenue Of The Americas NEW YORK NY NEW YORK 10020 | |
| DEUTSCHE BANK SECURITIES INC. | 60
WALL STREET 9TH FLOOR NEW YORK NY NEW YORK 10005 US |
DRIVEWEALTH, LLC | 15
EXCHANGE PLACE 10TH FLOOR JERSEY CITY NEW JERSEY 07302 |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| E*TRADE CLEARING LLC | HARBORSIDE
FINANCIAL CENTER 501 PLAZA 11 JERSEY CITY NJ NEW JERSEY 07311 US |
EDWARD D. JONES & CO., L.P. | 12555
MANCHESTER ROAD ST. LOUIS MO MISSOURI 63131-3729 US | |
| EDWARD D. JONES & CO., L.P. | 201
PROGRESS PARKWAY MARYLAND HEIGHTS MO MISSOURI 63043 US |
FIDELITY CLEARING CANADA ULC/CDS** | 483
BAY ST. SOUTH TOWER TORONTO ON ONTARIO M5G2N7 CA CANADA | |
| FIFTH THIRD BANK | 5001
KINGSLEY DRIVE MAIL DROP 1MOB28 CINCINNATI OH OHIO 45227 US |
FOLIO INVESTMENTS, INC. | 8180
GREENSBORO DRIVE 8TH FLOOR MCLEAN VA VIRGINIA 22102 US | |
| FUTU CLEARING INC. | 12750
Merit Drive SUITE 475 DALLAS TX TEXAS 75251 |
GMP SECURITIES L.P. | 145
KING STREET WEST, SUITE 300 11TH FLOOR TORONTO ON ONTARIO MJ5 1J8 CA CANADA | |
| GOLDMAN, SACHS & CO. LLC | 222
SOUTH MAIN STREET Attn: Mandatory Corporate Actions SALT LAKE CITY UT UTAH 84101 US |
HAYWOOD SECURITIES INC./CDS** | 200
BURRARD ST WATERFRONT CENTRE SUITE 700 VANCOUVER BC BRITISH COLUMBIA V6C 3L6 CANADA | |
| HILLTOP SECURITIES INC. | 1201
ELM ST. 35TH FLOOR DALLAS TX TEXAS 75270 US |
HRT FINANCIAL LLC | 150
GREENWICH STREET (ATTN: SETTLEMENT) FOUR WORLD TRADE CENTER 57TH FLOOR NEW YORK NY NEW YORK 10007 US | |
| HSBC BANK USA, NA/HSBC CUSTODY & CLEARING SERVICES FOR STOCK LOAN | 452
FIFTH AVENUE ATTN: HBUS CCS SETTS NEW YORK NY NEW YORK 10018 US |
HSBC BANK USA, NATIONAL ASSOCIATION | 452
FIFTH AVENUE ATTN: HBUS CCS SETTS NEW YORK NEW YORK 10018 US |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| INTERACTIVE BROKERS LLC | 2
PICKWICK PLAZA 2ND FLOOR GREENWICH CT CONNECTICUT 06830 US |
J.P. MORGAN CHASE BANK NA/FBO BLACKROCK CTF | 1111
POLARIS PARKWAY COLUMBUS OH OHIO 43240 | |
| J.P. MORGAN CLEARING CORP. | FOUR
CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11201 US |
JANNEY MONTGOMERY SCOTT LLC | 1717
ARCH STREET 17TH FLOOR PHILADELPHIA PA PENNSYLVANIA 19103 US | |
| JEFFERIES LLC | 101
HUDSON STREET, 11th Floor NEW JERSEY NJ NEW JERSEY 07302 US |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION | FOUR
CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11201 US | |
| JPMORGAN CHASE BANK/EUROCLEAR BANK | FOUR
CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11245 US |
JPMORGAN CHASE BANK/IA | FOUR
CHASE METROTECH CENTER 3RD FLOOR BROOKLYN NY NEW YORK 11201 US | |
| KEYBANK NATIONAL ASSOCIATION | 4900
TIEDEMAN RD BROOKLYN OH OHIO 44144 US |
LAURENTIAN BANK SECURITIES INC. | 1981
MCGILL COLLEGE AVE. SUITE 100 MONTREAL QUEBEC H3A 3K3 CA CANADA | |
| LPL FINANCIAL LLC | 4707
EXECUTIVE DRIVE SAN DIEGO CA CALIFORNIA 92121 US |
MANUFACTURERS AND TRADERS TRUST COMPANY | ONE
M&T PLAZA TRUST OPS 8TH FLOOR BUFFALO NY NEW YORK 14203 US | |
| MANULIFE SECURITIES INCORPORATED | 1235
NORTH SERVICE ROAD WEST OAKVILLE ON ONTARIO L6M 2W2 CA CANADA |
MARSCO INVESTMENT CORPORATION | 101
EISENHOWER PARKWAY ROSELAND NJ NEW JERSEY 07068 US | |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 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 | 810
SEVENTH AVE 37TH FLOOR NEW YORK NY NEW YORK 10019 |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| MIRAE ASSET SECURITIES (USA), INC. | 810
SEVENTH AVE 37TH FLOOR NEW YORK NY NEW YORK 10019 |
MITSUBISHI UFJ TRUST & BANKING CORPORATION, NEW YORK BRANCH | 280
PARK AVE 39TH FL-WEST BLDG NEW YORK NY NEW YORK 10017 | |
| Morgan Stanley | 1300
THAMES STREET THAMES STREET WHARF BALTIMORE MD MARYLAND 21231 US |
MORGAN STANLEY & CO. LLC | 1300
THAMES ST. BALTIMORE MD MARYLAND | |
| MORGAN STANLEY SMITH BARNEY LLC | 1
NEW YORK PLAZA 39TH FLOOR NEW YORK NY NEW YORK 10004 US |
MURIEL SIEBERT & CO., INC. | 77
SUMMER STREET 3RD FLOOR BOSTON MA MASSACHUSETTS 02210 US | |
| NATIONAL FINANCIAL SERVICES LLC | 499
WASHINGTON BOULEVARD 5TH FLOOR JERSEY CITY NJ NEW JERSEY 07310 US |
NBCN INC. | 1010
rue De La Gauchetière Mezzanine 100 MONTREAL QUEBEC H3B 5J2 CA CANADA | |
| NOMURA INTERNATIONAL TRUST COMPANY | 309
WEST 49TH STREET 10TH FLOOR NEW YORK NY NEW YORK 10019 US |
ODLUM BROWN LIMITED | 250
HOWE STREET SUITE 1100 VANCOUVER BC BRITISH COLUMBIA V6C 3R8 CA CANADA | |
| OPPENHEIMER & CO. INC. | 85
BROAD STREET NEW YORK NY NEW YORK 10004 US |
PERSHING LLC | 1
PERSHING PLAZA JERSEY CITY NJ NEW JERSEY 07399 US | |
| PHILLIP CAPITAL INC. | 141
W. JACKSON BLVD. SUITE 3050 CHICAGO IL ILLINOIS 60604 US |
PI FINANCIAL CORP. | 666
BURRARD ST SUITE 1900 VANCOUVER BC BRITISH COLUMBIA V6C 3N1 CA CANADA | |
| PNC BANK, NATIONAL ASSOCIATION | 4100
W 150TH STREET ASSET MOVEMENT TEAM 3RD FL, LOCATOR B7-YB17-03-03 CLEVELAND OH OHIO 44135 US |
PRINCIPAL BANK | 711
HIGH STREET DES MOINES IA IOWA 50392 |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| QUESTRADE INC./CDS** | 5650
YONGE ST., Suite 1700 TORONTO ON ONTARIO M2M 4G3 CA CANADA |
Raymond James & Associates, Inc. | 880
CARILLON PKWY ST. PETERSBURG FL FLORIDA 33733-2749 US | |
| RAYMOND JAMES LTD. | 925
WEST GEORGIA STREET SUITE 2200 VANCOUVER BC BRITISH COLUMBIA V6C 3L2 CA CANADA |
RBC CAPITAL MARKETS, LLC | 60
SOUTH 6TH ST. MINNEAPOLIS MN MINNESOTA 55402 US | |
| RBC DOMINION SECURITIES INC | 21
COMMERCE COURT SOUTH 2ND FLOOR TORONTO ON ONTARIO M5L 1A7 CANADA |
RELIANCE TRUST COMPANY | 1100
ABERNATHY RD. 500 NORTHPARK SUITE 400 ATLANTA GA GEORGIA 30113 US | |
| RELIANCE TRUST COMPANY | 4900
W. BROWN DEER RD MILWAUKEE WI WISCONSIN 53223 US |
ROBERT W. BAIRD & CO. INCORPORATED | 777
E WISCONSIN AVE 9TH FLOOR MILWAUKEE WI WISCONSIN 53202 US | |
| ROBINHOOD SECURITIES, LLC | 500
COLONIAL CENTER PARKWAY SUITE 100 LAKE MARY FL FLORIDA 32746 US |
SAFRA SECURITIES LLC | 546
5TH AVENUE NEW YORK NY NEW YORK 10036 US | |
| SCOTIA CAPITAL (USA) INC. | 150
KING STREET W 5TH FLOOR TORONTO ON ONTARIO M5H 1J9 CA CANADA |
SEI PRIVATE TRUST COMPANY | 1
FREEDOM VALLEY DRIVE OAKS PA PENNSYLVANIA 19456 US | |
| SEI PRIVATE TRUST COMPANY | 1
FREEDOM VALLEY DRIVE OAKS PA PENNSYLVANIA 19456 US |
SG AMERICAS SECURITIES, LLC | 480
WASHINGTON BLVD. 20TH FLOOR JERSEY CITY NJ NEW JERSEY 07310 US |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| SSB - BLACKROCK INSTITUTIONAL TRUST | 50
California Street San Francisco CA CALIFORNIA 94163 |
SSB - TRUST CUSTODY | 30
ADELAIDE ST EAST SUITE 800 TORONTO ON ONTARIO M5C 3G6 CA CANADA | |
| SSB&T CO/CLIENT CUSTODY SERVICES | 1776
HERITAGE DRIVE NORTH QUINCY MA MASSACHUSETTS 02171 |
STATE STREET BANK & TRUST CO | 16
WALL STREET 5TH FLOOR NEW YORK NY NEW YORK 10005 US | |
| STATE STREET BANK & TRUST COMPANY / ISHARES EUROPE | 1776
HERITAGE DRIVE NORTH QUINCY MA MASSACHUSETTS 02171 |
STATE STREET BANK & TRUST/STATE STREET TOTALETF | 1776
Heritage Drive NORTH QUINCY MA MASSACHUSETTS 02717 | |
| STATE STREET BANK AND TRUST COMPANY | 30
ADELAIDE ST EAST SUITE 800 TORONTO ON ONTARIO M5C 3G6 CA CANADA |
STIFEL, NICOLAUS & COMPANY, INCORPORATED | 501
N BROADWAY ST. LOUIS MO MISSOURI 63102 US | |
| STONEX FINANCIAL INC. | 2
PERIMETER PARK SOUTH SUITE 100 W BIRMINGHAM AL ALABAMA 35243 US |
TD AMERITRADE CLEARING, INC. | 200
S 108TH AVE OMAHA NE NEBRASKA 68154 US | |
| TD
WATERHOUSE CANADA INC ATTN: MANDATORY CORPORATE ACTIONS |
77
BLOOR STREET WEST 3RD FLOOR TORONTO ON ONTARIO M5S 1M2 CA CANADA |
TEXAS TREASURY SAFEKEEPING TRUST COMPANY | 208
E 10TH ST AUSTIN TX TEXAS 78701 US | |
| THE BANK OF NEW YORK MELLON | 500
GRANT STREET 27TH FLOOR PITTSBURGH PA PENNSYLVANIA 15258 US |
THE HUNTINGTON NATIONAL BANK | 7
EASTON OVAL EA4E62 COLUMBUS OH OHIO 43209 US | |
| THE NORTHERN TRUST COMPANY | 333
South Wabash Ave, 32nd Floor Attn: Trade Securities Processing CHICAGO IL ILLINOIS 60603 US |
TRADESTATION SECURITIES, INC. | 120
RIVERSIDE PLAZA SUITE 1650 CHICAGO IL ILLINOIS 60606 US |
| Broker Name | Broker Address | Broker Name | Broker Address | |
| U.S. BANCORP INVESTMENTS, INC. | 60
LIVINGSTON AVE EP-MN-WN1B ST. PAUL MN MINNESOTA 55107-1419 US |
U.S. BANK N.A./ETF | 1555
N RIVER CENTER DRIVE MILWAUKEE WI WISCONSIN 53212 | |
| U.S. BANK NATIONAL ASSOCIATION | 1555
NORTH RIVERCENTER DRIVE, SUITE 302 SUITE 302 MILWAUKEE WI WISCONSIN 53212 US |
UBS AG | 480
WASHINGTON BLVD. 12TH FLOOR JERSEY CITY NJ NEW JERSEY 07310 US | |
| UBS FINANCIAL SERVICES INC. | 1000
HARBOR BOULEVARD WEEHAWKEN NJ NEW JERSEY 07086 US |
UBS SECURITIES LLC | 677
WASHINGTON BLVD STAMFORD CT CONNECTICUT 06901 US | |
| UMB BANK, NATIONAL ASSOCIATION | 928
GRAND BLVD KANSAS CITY MO MISSOURI 64106 US |
VANGUARD MARKETING CORPORATION | 100
VANGUARD BLVD MALVERN PA PENNSYLVANIA 19355 US | |
| VELOCITY CLEARING, LLC | 1301
Route 36 Suite 109 (Attn: Chris Felicetti) HAZLET NEW JERSEY 7730 US |
VELOX CLEARING LLC | 2400
E. KATELLA AVENUE SUITE 725A ANAHEIM CA CALIFORNIA 92806 US | |
| VIRTU AMERICAS LLC | ONE
LIBERTY PLAZA, 165 BROADWAY 5TH FLOOR NEW YORK NY NEW YORK 10006 US |
VISION FINANCIAL MARKETS LLC | 4
HIGH RIDGE PARK SUITE 100 STAMFORD CT CONNECTICUT 06905 US | |
| WEDBUSH SECURITIES INC | 1000
WILSHIRE BLVD 8TH FLOOR LOS ANGELES CA CALIFORNIA 90017 US |
WEDBUSH SECURITIES INC. | 1000
WILSHIRE BLVD. LOS ANGELES CA CALIFORNIA 90017 US | |
| WELLS FARGO BANK, N.A./SIG | 733
MARQUETTE AVE 4TH FLOOR MAC N9306-04D MINNEAPOLIS MN MINNESOTA 55402 US |
WELLS FARGO CLEARING SERVICES LLC | 1
NORTH JEFFERSON MAIL CODE: H0006-094 ST. LOUIS MO MISSOURI 63103 US | |
| WELLS FARGO SECURITIES, LLC | 1525
WEST W T HARRIS BLVD CHARLOTTE NC NORTH CAROLINA 28262 US |
WILSON-DAVIS & CO., INC. | 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.
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