SEC Form 3 · accession 0000919574-15-000167
HEAT BIOLOGICS, INC. · HTBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
ARISTAR HEAT, LLC
10% Owner
ARISTAR CAPITAL MANAGEMENT, LLC
10% Owner
ARISTAR CAPITAL MANAGEMENT GP, LLC
10% Owner
Period of report
Jan 1, 2015
Accepted (ET)
Jan 8, 2015 · 3:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001476963
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 697,303 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities are held in the account of Aristar Ventures III, LLC ("Aristar Ventures III") and may be deemed to be owned by (a) Aristar Capital Management, LLC, the investment manager of Aristar Ventures III, (b) Aristar Heat, LLC, the managing member of Aristar Ventures III, (c) Aristar Capital Management GP, LLC, the managing member of Aristar Heat, LLC and (d) Edward B. Smith III, the managing member of Aristar Capital Management, LLC. Each reporting person disclaims beneficial ownership of these reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that any such person is the beneficial owner of these securities for purposes of Section 16 of the U.S. Securities Exchange Act of 1934, as amended, or for any other purpose.