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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SOON SHIONG PATRICK 10182 CULVER BOULEVARD CULVER CITY, CA 90232 |
X | |||
California Capital Z, LLC 10182 CULVER BOULEVARD CULVER CITY, CA 90232 |
X |
/s/ Patrick Soon-Shiong | 04/09/2013 | |
**Signature of Reporting Person | Date | |
/s/ Charles Kenworthy, Manager of California Capital Z, LLC | 04/09/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The price reported in Column 4 is a weighted average price. Dr. Soon-Shiong undertakes to provide to JAKKS Pacific, Inc. (the "Company"), any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which the shares were purchased. |
(2) | The shares reported on this Form 4 as purchased on April 5, 2013 do not include the shares purchased on April 5, 2013 that were reported in the Form 3 filed concurrently with this Form 4. |
(3) | Acquired by California Capital Z, LLC ("California Capital") in a private transaction. |
(4) | Shares beneficially owned by California Capital. |
Remarks: Dr. Soon-Shiong is the sole member of California Capital and may be deemed to beneficially own some or all of the securities held by California Capital. California Capital disclaims beneficial ownership of the reported securities beneficially owned directly by Dr. Soon-Shiong. After giving effect to the transactions disclosed on this Form 4, Dr. Soon-Shiong directly holds 239,622 shares of Common Stock of the Company, California Capital directly holds 2,851,764 shares of Common Stock of the Company, and Dr. Soon-Shiong may accordingly be deemed to beneficially own an aggregate of 3,091,386 shares of Common Stock of the Company. |