Filing Details
- Accession Number:
- 0001553350-13-000465
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-29 12:25:02
- Reporting Period:
- 2013-07-29
- Filing Date:
- 2013-07-29
- Accepted Time:
- 2013-07-29 12:25:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1476963 | Heat Biologics Inc. | HTBX | Pharmaceutical Preparations (2834) | 262844103 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1381450 | Alan Jeffrey Wolf | C/O 100 Europa Drive Chapel Hill NC 27517 | Chief Executive Officer | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-07-29 | 1,160 | $0.00 | 1,233,675 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2013-07-29 | 51 | $0.00 | 1,233,726 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B-1 Preferred | Disposition | 2013-07-29 | 1,160 | $0.00 | 1,160 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct |
Footnotes
- The shares of Series B-1 Convertible Preferred Stock converted to shares of common stock at a conversion rate of .4348 per share.
- Includes 695,653 shares of common stock held by Orion Holdings V, LLC and 536,862 shares of common stock held by Seed-One Holdings VI, LLC.
- These shares were issued upon consummation of the Company's initial public offering in lieu of Series B-2 Preferred Stock that Mr. Wolf had committed to purchase upon the Company's receipt of certain grant funding and the shares underlying the warrants to be issued at such time.
- Does not include 86,957 shares of common stock beneficially owned by Mr. Wolf's children's trust which Mr. Wolf is not the trustee of. Mr. Wolf disclaims beneficial ownership of these shares except to the extent of any pecuniary interest (as defined in Rule 16a - 1(a)(2) promulgated under the Exchange Act) that he may have in such entities.
Billionaire Hedge Funds
