SEC Form 4 · accession 0001553350-17-000159
HEAT BIOLOGICS, INC. · HTBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann A Rosar
Officer — VP of Finance
Period of report
Feb 7, 2017
Accepted (ET)
Feb 9, 2017 · 4:30 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 | Feb 7, 2017 | F | 6,764 | $0.8776 | D | 63,236 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person previously reported the acquisition of 70,000 shares of Heat Biologics, Inc. common stock, $0.0002 par value per share (the "Common Stock"), represented by 70,000 restricted stock units ("RSUs"). The reporting person sold 6,764 shares of Common Stock to satisfy tax obligations. Each RSU represents a contingent right to receive one share of Common Stock. The 70,000 RSUs vest as follows: (i) 17,500 vested on January 2, 2017 (of which 6,764 were sold to satisfy tax obligations and 10,736 remain); (ii) 17,500 will vest on January 2, 2018; (iii) 17,500 will vest on January 2, 2019; and (iv) 17,500 will vest on January 2, 2020, provided that the reporting person is not terminated for cause prior to such dates.