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