SEC Form 4 · accession 0001553350-16-001754
HEAT BIOLOGICS, INC. · HTBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Kharitonov
Director
Period of report
Mar 23, 2016
Accepted (ET)
Mar 23, 2016 · 8:12 pm EDT
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 | Mar 23, 2016 | P | 900,000 | $0.75 | A | 949,960 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $1.00 | Mar 23, 2016 | A | 675,000 | A | Mar 23, 2016 | Mar 22, 2021 | Common Stock | 675,000 | 675,000 | D |
Explanation of responses
- F1Dr. Kharitonov participated in a public offering (the "Offering") by Heat Biologics, Inc. (the "Company") of its securities that closed on March 23, 2016. Dr. Kharitonov purchased in the Offering 900,000 shares of the Company's common stock (the "Common Stock") and warrants ("Warrants") to purchase up to 675,000 shares of Common Stock at a combined public offering price of $0.75 per share and related warrant. The Warrants are exercisable immediately upon issuance, expire five years after the date of issuance and have an exercise price of $1.00 per share.