FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/03/2015 |
3. Issuer Name and Ticker or Trading Symbol
Enumeral Biomedical Holdings, Inc. [ ENUM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 0 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (1) | 07/30/2024 | Common Stock | 90,000 | $1 | D | |
Employee Stock Option (Right to Buy) | (2)(6) | 07/17/2024 | Common Stock | 28,655 | $1 | D | |
Employee Stock Option (Right to Buy) | (3)(6) | 07/25/2023 | Common Stock | 49,595 | $0.245 | D | |
Employee Stock Option (Right to Buy) | (4)(6) | 10/26/2022 | Common Stock | 35,819 | $0.245 | D | |
Employee Stock Option (Right to Buy) | (5)(6) | 10/26/2022 | Common Stock | 35,819 | $0.245 | D |
Explanation of Responses: |
1. The option vests and becomes exercisable as follows: (a) 15,000 shares will vest in 48 equal monthly installments beginning on July 31, 2014, and (b) 75,000 shares will vest upon the achievement of certain performance criteria. |
2. The option vests and becomes exercisable in 48 equal monthly installments beginning on July 25, 2013. |
3. The option vests and becomes exercisable upon the achievement of certain performance criteria. |
4. The option vests and becomes exercisable as follows: (a) as to 23,878 shares, in 48 equal monthly installments beginning on November 26, 2012; and (b) as to 11,941 shares, upon the achievement of certain performance criteria. |
5. The option vests and becomes exercisable as follows: (a) 3,857 shares on October 26, 2012; (b) 5,511 shares on January 4, 2013; (c) as to 16,532 shares, in 36 equal monthly installments beginning on February 4, 2013; and (d) as to 9,919 shares, upon the achievement of certain performance criteria. |
6. Represents an option issued to the reporting person in exchange for an option previously issued by Enumeral Biomedical Corp. (the "Predecessor") pursuant to the terms of the merger of the Predecessor with a wholly-owned subsidiary of the Issuer. |
/s/ Anhco Nguyen | 04/03/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |