0001553350-19-000009.txt : 20190103 0001553350-19-000009.hdr.sgml : 20190103 20190103165043 ACCESSION NUMBER: 0001553350-19-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190101 FILED AS OF DATE: 20190103 DATE AS OF CHANGE: 20190103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wolf Jeffrey Alan CENTRAL INDEX KEY: 0001381450 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35994 FILM NUMBER: 19506413 MAIL ADDRESS: STREET 1: 3985 RESEARCH PARK DRIVE CITY: ANN ARBOR STATE: MI ZIP: 48108 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: 801 CAPITOLA DRIVE CITY: DURHAM STATE: NC ZIP: 27713 BUSINESS PHONE: 919-240-7133 MAIL ADDRESS: STREET 1: 801 CAPITOLA DRIVE CITY: DURHAM STATE: NC ZIP: 27713 4 1 wolf4.xml OWNERSHIP DOCUMENT X0306 4 2019-01-01 0 0001476963 HEAT BIOLOGICS, INC. HTBX 0001381450 Wolf Jeffrey Alan C/O HEAT BIOLOGICS, INC. 801 CAPITOLA DRIVE DURHAM NC 27713 1 1 0 0 Chief Executive Officer Common Stock 2019-01-01 4 A 0 800000 0 A 848317 D Common Stock 77172 I See Footnotes Common Stock 71620 I See Footnotes Stock Options 1.06 2019-01-01 4 A 0 800000 0 A 2019-01-01 2029-01-01 Common Stock 595588 800000 D The 800,000 restricted shares of Heat Biologics, Inc. (the "Company") common stock, $0.0002 par value per share (the "Common Stock"), vest as follows: 50% vest immediately, 30% vest on the one year anniversary of the date of grant, 10% vest on the two year anniversary of the date of grant and 10% vest on the three year anniversary of the date of grant. Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by Orion, Seed-One and the Trust except to the extent of any pecuniary interest (as defined in Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended) that he may have in such entities. The share numbers reflect the one for ten reverse stock split effected by the Company on January 19, 2018. Held by Orion Holdings V, LLC ("Orion"). Mr. Wolf is managing member of Orion. Held by Seed-One Holdings VI, LLC ("Seed-One"). Mr. Wolf is managing member of Seed-One. The stock options to purchase 800,000 shares of Common Stock vest as follows: 50% vest immediately, 30% vest on the one year anniversary of the date of grant, 10% vest on the two year anniversary of the date of grant and 10% vest on the three year anniversary of the date of grant. /s/ Jeffrey Alan Wolf 2019-01-03