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