0001140361-21-013551.txt : 20210420 0001140361-21-013551.hdr.sgml : 20210420 20210420201602 ACCESSION NUMBER: 0001140361-21-013551 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210416 FILED AS OF DATE: 20210420 DATE AS OF CHANGE: 20210420 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Federoff Howard J. CENTRAL INDEX KEY: 0001857261 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11460 FILM NUMBER: 21839230 MAIL ADDRESS: STREET 1: C/O BROOKLYN IMMUNOTHERAPEUTICS, INC. STREET 2: 140 58TH STREET, BUILDING A, SUITE 2100 CITY: BROOKLYN STATE: NY ZIP: 11220 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Brooklyn ImmunoTherapeutics, Inc. CENTRAL INDEX KEY: 0000748592 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 311103425 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 140 58TH STREET, BUILDING A STREET 2: SUITE 2100 CITY: BROOKLYN STATE: NY ZIP: 11220 BUSINESS PHONE: (212) 582-1199 MAIL ADDRESS: STREET 1: 140 58TH STREET, BUILDING A STREET 2: SUITE 2100 CITY: BROOKLYN STATE: NY ZIP: 11220 FORMER COMPANY: FORMER CONFORMED NAME: NTN BUZZTIME INC DATE OF NAME CHANGE: 20051230 FORMER COMPANY: FORMER CONFORMED NAME: NTN COMMUNICATIONS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ALROY INDUSTRIES INC DATE OF NAME CHANGE: 19850411 4 1 form4.xml FORM 4 X0306 4 2021-04-16 0000748592 Brooklyn ImmunoTherapeutics, Inc. BTX 0001857261 Federoff Howard J. C/O BROOKLYN IMMUNOTHERAPEUTICS, INC. 140 58TH STREET, BUILDING A, SUITE 2100 BROOKLYN NY 11220 true true See Remarks Stock Option 7.94 2021-04-16 4 A 0 2627915 0 A 2031-04-15 Common Stock 2627915 2627915 D Stock Option 7.94 2021-04-16 4 A 0 597253 0 A 2031-04-15 Common Stock 597253 597253 D The option vests and becomes exercisable over four years, with 656,979 shares vesting on April 16, 2022, 54,748 shares vesting on the sixteenth day of each month from May 2022 through March 2025, and the remaining 54,756 shares vesting on April 16, 2025, subject to continued service through each vesting date. The option vests and becomes exercisable in full upon the occurrence of the first approval by the Food and Drug Administration of an investigational new drug application in connection with that certain license among the Issuer, Factor Biosciences Therapeutics Limited and Novellus Therapeutics Limited, subject to continued service through such vesting date. Chief Executive Officer and President /s/ Mark L. Johnson, Attorney-in-Fact for Howard J. Federoff 2021-04-20