SEC Form 4 · accession 0001493152-26-033166
Oncotelic Therapeutics, Inc. · OTLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vuong Trieu
Officer — CHAIRMAN AND CEO · Director · 10% Owner
Period of report
Jul 10, 2026
Accepted (ET)
Jul 14, 2026 · 4:00 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000908259
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 94,124,319 | D | ||
| Common Stock | holding | — | — | — | 16,780,384 | I | By Autotelic Inc. | |
| Common Stock | holding | — | — | — | 6,872,529 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted stock UnitsF1,F2 | $0.00 | Jul 10, 2026 | A | 2,000 | A | — | — | Series A Preferred Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1On July 10, 2026, the reporting person was granted 2,000 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.
- F2The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.