0001493152-21-017106.txt : 20210716
0001493152-21-017106.hdr.sgml : 20210716
20210716173827
ACCESSION NUMBER: 0001493152-21-017106
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210716
DATE AS OF CHANGE: 20210716
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trieu Vuong
CENTRAL INDEX KEY: 0001587074
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21990
FILM NUMBER: 211096382
MAIL ADDRESS:
STREET 1: 4003 JIM BOWIE ROAD
CITY: AGOURA HILLS
STATE: CA
ZIP: 91301
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Oncotelic Therapeutics, Inc.
CENTRAL INDEX KEY: 0000908259
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 133679168
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 29397 AGOURA RD.
STREET 2: #107
CITY: AGUORA HILLS
STATE: CA
ZIP: 91301
BUSINESS PHONE: 650-635-7000
MAIL ADDRESS:
STREET 1: 29397 AGOURA RD.
STREET 2: #107
CITY: AGUORA HILLS
STATE: CA
ZIP: 91301
FORMER COMPANY:
FORMER CONFORMED NAME: MATEON THERAPEUTICS INC
DATE OF NAME CHANGE: 20160613
FORMER COMPANY:
FORMER CONFORMED NAME: OXIGENE INC
DATE OF NAME CHANGE: 19930628
4
1
ownership.xml
X0306
4
2021-03-31
0
0000908259
Oncotelic Therapeutics, Inc.
OTLC
0001587074
Trieu Vuong
29397 AGOURA RD SUITE 107
AGOURA HILLS,
CA
91301
1
1
1
0
CHAIRMAN AND CEO
Common Stock
2021-03-31
4
C
0
74455719
A
90268021
D
Common Stock
2021-07-08
4
A
0
259302
0
A
90527323
D
Common Stock
2021-03-31
4
C
0
13849161
A
16780384
I
By Autotelic, Inc.
Common Stock
2021-03-31
4
C
0
5672025
A
6872529
I
By Spouse
Series A Convertible Preferred Stock
2021-03-31
4
C
0
74456
D
Common Stock
74455719
0
D
Series A Convertible Preferred Stock
2021-03-31
4
C
0
13849
D
Common Stock
13849161
0
I
By Autotelic, Inc.
Series A Convertible Preferred Stock
2021-03-31
4
C
0
5672
D
Common Stock
5672025
0
I
By Spouse
Stock Options
0.1626
2021-07-08
4
A
0
513953
0
A
2021-07-08
2031-07-08
Common Stock
513953
513953
D
Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.
Shares were issued in settlement of Restricted Stock Units granted pursuant to the Issuer's 2015 Equity Incentive Plan that vested immediately upon grant.
Shares of the Series A Convertible Preferred Stock does not expire.
Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan and which vest immediately on the date of grant.
/s/ Vuong Trieu
2021-07-15