Item 5. Other Information
ITEM 5. OTHER INFORMATION.
None.
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ITEM 6. EXHIBITS.
The documents listed below are incorporated by reference or are filed or furnished with this Quarterly Report, in each case as indicated therein (numbered in accordance with Item 601 of Regulation S‑K).
Exhibit
Number Description of Exhibit
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 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
Interactive Data File because its XBRL tags are embedded within the Inline XBRL document).
101.SCH Inline XBRL Taxonomy Extension Schema Document.
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document.
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document.
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document.
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
_______________
* 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 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.
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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 thereunto duly authorized.
IMMUNITYBIO, INC.
Registrant
Date: May 11, 2023
By: /s/ Richard Adcock
Richard Adcock
Chief Executive Officer
(Principal Executive Officer)
Date: May 11, 2023
By: /s/ David C. Sachs
David C. Sachs
Chief Financial Officer
(Principal Financial Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.