0001553350-21-000010.txt : 20210106 0001553350-21-000010.hdr.sgml : 20210106 20210106080951 ACCESSION NUMBER: 0001553350-21-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 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: 21509044 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: 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 wolf4.xml OWNERSHIP DOCUMENT X0306 4 2021-01-04 0 0001476963 HEAT BIOLOGICS, INC. HTBX 0001381450 Wolf Jeffrey Alan C/O HEAT BIOLOGICS, INC. 627 DAVIS DRIVE MORRISVILLE NC 27560 1 1 0 0 Chief Executive Officer Common Stock 2021-01-04 4 A 0 288100 0 A 766484 D Common Stock 11025 I See Footnotes Common Stock 10231 I See Footnotes Stock options 5.67 2021-01-04 4 A 0 147980 0 A 2023-01-04 2031-01-03 Common Stock 147980 147980 D The restricted shares of Heat Biologics, Inc. (the "Company") common stock, par value $0.0002 per share (the "Common Stock"), vest as follows: 1/2 vest immediately and the remaining 1/2 vest and are no longer subject to forfeiture on the one year anniversary of the date of grant, subject to the reporting person's continued service to the Company. 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 the Trust, Orion (as defined below), and Seed-One (as defined below), 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. 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 147,980 shares of Common Stock vest on the two year anniversary of the date of grant, subject to the reporting person's continued service to the Company. Reflects a one for seven reverse stock split effected on December 11, 2020. /s/ Jeffrey Alan Wolf 2021-01-06