Amended Statement of Ownership (sc 13g/a)
February 01 2021 - 3:34PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of
1934
(Amendment No. 1)*
SORRENTO
THERAPEUTICS, INC.
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(Name of Issuer)
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Common Stock, $0.0001 par value
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(Title of Class of Securities)
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December 31, 2020
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|
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(Date of Event Which Requires Filing
of this Statement)
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Check the appropriate box to designate the rule pursuant
to which this Schedule is filed:
* The remainder of this cover page shall be filled out
for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall
not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
Page 2 of 6 Pages
1
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Name of Reporting Person
Top Path Asia Limited
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2
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Check the Appropriate
Box if a Member of a Group (See Instructions)
(a)
¨
(b)
¨
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3
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SEC Use Only
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4
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Citizenship or Place
of Organization
British Virgin Islands
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number of
shares
beneficially
owned by
each
reporting
person with
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5
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Sole Voting Power
0
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6
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Shared Voting Power
0
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7
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Sole
Dispositive Power
0
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8
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Shared Dispositive Power
0
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9
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Aggregate Amount Beneficially
Owned by Each Reporting Person
0
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10
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Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions)
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11
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Percent of Class Represented
by Amount in Row (9)
N/A
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12
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Type of Reporting Person
(See Instructions)
CO
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Page 3 of 6 Pages
Item 1.
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(a)
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Name of Issuer
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Sorrento Therapeutics, Inc.
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(b)
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Address
of Issuer’s Principal Executive Offices
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4955 Directors Place
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San Diego, CA 92121
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Item 2.
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(a)
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Name of Person Filing
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Top Path Asia Limited (the “Reporting Person”)
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(b)
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Address
of Principal Business office or, if None, Residence
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Rooms 1102-3, 11/F, Regent Centre
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88 Queen’s Road, Central, Hong Kong
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(c)
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Citizenship
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British Virgin Islands
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(d)
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Title
of Class of Securities
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Common Stock, $0.0001 par value
(“Common Stock”)
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(e)
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CUSIP
Number
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83587F202
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Item 3.
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If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person
filing is a:
|
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(a)
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¨
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
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(b)
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¨
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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¨
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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¨
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
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(e)
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¨
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An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
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(f)
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¨
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An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
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(g)
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¨
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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Page 4 of 6 Pages
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(h)
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¨
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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¨
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act
of 1940 (15 U.S.C. 80a-3);
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(j)
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¨
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
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(k)
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¨
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Group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
please specify the type of institution: __________
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(a)
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Amount beneficially owned:
|
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0
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(b)
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Percent of class:
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N/A
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote:
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0
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(ii)
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Shared power to vote or to direct the vote:
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0
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(iii)
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Sole power to dispose or to direct the disposition of:
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0
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(iv)
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Shared power to dispose or to direct the disposition of:
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0
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact
that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities,
check the following ☒
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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N/A
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding
Company or Control Person.
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N/A
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Item 8.
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Identification and Classification of Members of the Group.
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N/A
Page 5 of 6 Pages
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Item 9.
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Notice of Dissolution of Group.
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N/A
By signing
below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired
and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities
solely in connection with a nomination under § 240.14a-11.
Page 6 of 6 Pages
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 1, 2021
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Top Path Asia Limited
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By:
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/s/ ZHOU, Chaoxin
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Name: ZHOU, Chaoxin
Title: Director
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