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Common Stock 129820 129820 D On December 30, 2021, the board of directors of Heat Biologics, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Dr.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Stock Incentive Plan (the "Plan") and granted new stock options under the Plan, on substantially similar terms to the rescinded stock options, which new stock options are subject to forfeiture in the event an amendment to increase the number of shares of common stock available for grant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