0001553350-22-000009.txt : 20220103
0001553350-22-000009.hdr.sgml : 20220103
20220103171917
ACCESSION NUMBER: 0001553350-22-000009
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: Smith Edward B III
CENTRAL INDEX KEY: 0001436316
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35994
FILM NUMBER: 22503107
MAIL ADDRESS:
STREET 1: C/O BRIGHTLINE CAPITAL MANAGEMENT, LLC
STREET 2: 1120 AVE OF THE AMERICAS, SUITE 1505
CITY: NEW YORK
STATE: NY
ZIP: 10036
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
smith4.xml
OWNERSHIP DOCUMENT
X0306
4
2021-12-30
0
0001476963
HEAT BIOLOGICS, INC.
HTBX
0001436316
Smith Edward B III
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
32467
0
D
2022-01-13
2031-12-12
Common Stock
32467
0
D
Stock Option (right to buy)
4.06
2021-12-30
4
A
0
32467
0
A
2021-01-13
2031-12-29
Common Stock
32467
32467
D
On December 30, 2021, the board of directors of Heat Biologics, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Smith on December 13, 2021 covering 32,467 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Stock Incentive Plan (the "Plan") and granted new stock options under the Plan, on substantially similar terms to the rescinded stock options, which new stock options are subject to forfeiture in the event an amendment to increase the number of shares of common stock available for grant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/ Edward B. Smith III
2022-01-03