0001553350-22-000010.txt : 20220103
0001553350-22-000010.hdr.sgml : 20220103
20220103172007
ACCESSION NUMBER: 0001553350-22-000010
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211230
FILED AS OF DATE: 20220103
DATE AS OF CHANGE: 20220103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PRENDERGAST JOHN K A
CENTRAL INDEX KEY: 0001042019
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35994
FILM NUMBER: 22503120
MAIL ADDRESS:
STREET 1: ROBERTS SHERIDAN & KOTEL
STREET 2: 12 EAST 49TH STREET 30TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HEAT BIOLOGICS, INC.
CENTRAL INDEX KEY: 0001476963
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 262844103
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 627 DAVIS DRIVE
STREET 2: SUITE 400
CITY: MORRISVILLE
STATE: NC
ZIP: 27560
BUSINESS PHONE: 919-240-7133
MAIL ADDRESS:
STREET 1: 627 DAVIS DRIVE
STREET 2: SUITE 400
CITY: MORRISVILLE
STATE: NC
ZIP: 27560
4
1
prendergast4.xml
OWNERSHIP DOCUMENT
X0306
4
2021-12-30
0
0001476963
HEAT BIOLOGICS, INC.
HTBX
0001042019
PRENDERGAST JOHN K A
C/O HEAT BIOLOGICS, INC.
627 DAVIS DRIVE
MORRISVILLE
NC
27560
1
0
0
0
Stock Option (right to buy)
4.06
2021-12-30
4
J
0
129820
0
D
2022-01-13
2031-12-12
Common Stock
129820
0
D
Stock Option (right to buy)
4.06
2021-12-30
4
A
0
129820
0
A
2022-01-13
2031-12-29
Common Stock
129820
129820
D
On December 30, 2021, the board of directors of Heat Biologics, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Dr. Prendergast on December 13, 2021 covering 129,820 shares under the Company's 2018 Stock Incentive Plan (the "Plan") and granted new stock options under the Plan, on substantially similar terms to the rescinded stock options, which new stock options are subject to forfeiture in the event an amendment to increase the number of shares of common stock available for grant under the Plan is not adopted by the Company's stockholders.
These stock options vest pro rata on a monthly basis over a twelve- month period commencing 1/13/2022
/s/ John K. A. Prendergast
2022-01-03