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What changed 10-Q

Item 5. Other Information

2023-05-11 compared with 2022-11-09 · 15 added, 27 removed, 24 unchanged (64% of the section changed)

2 unchanged sentences

Number Description of Exhibit

2.1† Agreement and Plan of Merger, dated as of December 21, 2020, by and among ImmunityBio, Inc.

(f/k/a NantKwest, Inc.), NantCell, Inc.

(f/k/a ImmunityBio, Inc.) and Nectarine Merger Sub, Inc.

(incorporated by reference to Exhibit 2.1 to the company’s Current Report on Form 8-K filed with the SEC on December 22, 2020).

10.1* Promissory Note between ImmunityBio, Inc.

and Nant Capital, LLC dated August 31, 2022.

10.2* Amended and Restated Promissory Note between ImmunityBio, Inc.

and Nant Capital, LLC dated August 31, 2022.

10.3* Amended and Restated Convertible Promissory Note between ImmunityBio, Inc.

and Nant Capital, LLC dated August 31, 2022.

10.4* Amended and Restated Convertible Promissory Note between ImmunityBio, Inc.

and Nant Capital, LLC dated August 31, 2022.

10.5* Second Amended and Restated Convertible Promissory Note between ImmunityBio, Inc.

and Nant Capital, LLC dated August 31, 2022.

10.6* Second Amended and Restated Convertible Promissory Note between ImmunityBio, Inc.

and NantWorks, LLC dated August 31, 2022.

10.7* Second Amended and Restated Convertible Promissory Note between ImmunityBio, Inc.

and NantCancerStemCell, LLC dated August 31, 2022.

10.8* Second Amended and Restated Convertible Promissory Note between ImmunityBio, Inc.

and NantMobile, LLC dated August 31, 2022.

3.1 Amended and Restated Certificate of Incorporation of ImmunityBio, Inc.

(incorporated by reference to Exhibit 3.1 to the company’s Current Report on Form 8-K filed with the SEC on August 4, 2015).

3.2 Certificate of Amendment of Amended and Restated Certificate of Incorporation of ImmunityBio, Inc.

dated March 9, 2021 (incorporated by reference to Exhibit 3.1 to the company’s Current Report on Form 8-K filed with the SEC on March 10, 2021).

3.3 Certificate of Amendment of Amended and Restated Certificate of Incorporation of ImmunityBio, Inc.

dated February 1, 2022 (incorporated by reference to Exhibit 3.3 to the company’s POSASR filed with the SEC on March 1, 2022).

3.4 Amended and Restated Bylaws of ImmunityBio, Inc.

effective as of March 10, 2021 (incorporated by reference to Exhibit 3.2 to the company’s Quarterly Report on Form 10-Q filed with SEC on August 12, 2021).

4.1 Form of Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.1 to the company’s Current Report on Form 8-K filed with the SEC on February 15, 2023).

10.1 Securities Purchase Agreement dated as of February 15, 2023 (incorporated by reference to Exhibit 10.1 to the company’s Current Report on Form 8-K filed with the SEC on February 15, 2023).

10.2 Convertible Promissory Note by and between ImmunityBio, Inc.

and Nant Capital, LLC dated as of March 31, 2023 (incorporated by reference to Exhibit 10.1 to the company ’ s Current Report on Form 8-K filed with the SEC on March 31, 2023 ) .

31.1* Rule 13a-14(a) / 15(d)-14(a) Certification of Principal Executive Officer.

31.2* Rule 13a-14(a) / 15(d)-14(a) Certification of Principal Financial Officer.

32.1** Section 1350 Certification of Chief Executive Officer.

32.2** Section 1350 Certification of Chief Financial Officer.

32.1** Section 1350 Certification of Principal Executive Officer.

32.2** Section 1350 Certification of Principal Financial Officer.

101.INS Inline XBRL Instance Document (the instance document does not appear in the

7 unchanged sentences

_______________

† Schedules and exhibits have been omitted pursuant to Item 601(b)(2) of Regulation S-K.

The company agrees to furnish to the SEC a copy of any omitted schedule or exhibit upon request.

* Filed herewith.

** The certifications attached as Exhibits 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q are deemed furnished and not filed with the SEC and are not to be incorporated by reference into any filing of ImmunityBio, Inc.

under the Securities Act, as amended, or the Exchange Act, as amended, whether made before or after the date of this Quarterly Report, irrespective of any general incorporation language contained in such filing.

under the Securities Act or the Exchange Act, whether made before or after the date of this Quarterly Report, irrespective of any general incorporation language contained in such filing.

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 thereunto duly authorized.

IMMUNITYBIO, INC.

November 8, 2022

/s/ Richard Adcock

2 unchanged sentences

(Principal Executive Officer)

November 8, 2022

Chief Financial Officer

1 unchanged sentence

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.