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
Sorrento Therapeutics, Inc. (Nasdaq: SRNE) has confirmed dividends for stockholders, distributing 76 million shares of Scilex Holding Company (Nasdaq: SCLX) common stock. These Dividend Confirmation Statements were sent to 146 brokerage firms, detailing shares allocated to stockholders of record as of January 9, 2023. Each holder of Sorrento common stock is entitled to receive 0.1410127 of a share of Scilex stock for each share held. The payment date for the dividend was January 19, 2023. Notably, around 60 million Sorrento shares were sold short by the Record Date, which may impact liquidity for Scilex's stock.
- Distribution of 76 million shares of Scilex stock provides value to Sorrento shareholders.
- Dividend payment strengthens shareholder confidence.
- Potential decrease in liquidity of Scilex's stock due to fewer shares available for trading.
- High short selling (60 million shares) raises concerns about market volatility.
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)
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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