SEC Form 4 · accession 0001553350-19-000007
HEAT BIOLOGICS, INC. · HTBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward B Smith III
Director
Period of report
Jan 1, 2019
Accepted (ET)
Jan 3, 2019 · 4:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001476963
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $1.06 | Jan 1, 2019 | A | 150,000 | A | Jan 1, 2019 | Jan 1, 2029 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1The stock options vest as follows: 50% vest immediately, 30% vest on the one year anniversary of the date of grant, 10% vest on the two year anniversary of the date of grant and 10% vest on the three year anniversary of the date of grant.