0001553350-21-001169.txt : 20211215
0001553350-21-001169.hdr.sgml : 20211215
20211215171226
ACCESSION NUMBER: 0001553350-21-001169
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211213
FILED AS OF DATE: 20211215
DATE AS OF CHANGE: 20211215
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: 211494970
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
2021-12-13
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
2021-12-13
4
A
0
246305
0
A
1072789
D
Common Stock
11025
I
See Footnotes
Common Stock
10231
I
See Footnotes
Stock Option (right to buy)
4.06
2021-12-13
4
A
0
393761
0
A
2023-01-13
2031-12-12
Common Stock
393761
393761
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 January 1, 2022, subject to the reporting person's continued service to the Company.
Does not include 3,781 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 393,761 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.
/s/ Jeffrey Alan Wolf
2021-12-15