4/A//SEC Filing
Shrivastava Sanjay 4/A
Accession 0001493152-19-016545
CIK 0001661053other
Filed
Nov 5, 7:00 PM ET
Accepted
Nov 6, 4:05 PM ET
Size
8.7 KB
Accession
0001493152-19-016545
Insider Transaction Report
Form 4/AAmended
Shrivastava Sanjay
Director
Transactions
- Award
Restricted Stock Units
2018-11-27+29,183→ 29,183 total→ Common Stock (29,183 underlying) - Award
Stock Options
2018-11-27+60,000→ 60,000 totalExercise: $2.57Exp: 2021-10-02→ Common Stock (60,000 underlying)
Footnotes (3)
- [F1]This amendment to Form 4 is being filed by the Reporting Person to include those certain Restricted Stock Units (the "RSUs") granted to the Reporting Person on November 27, 2018 in Table II rather than Table I because the RSUs, upon vesting, entitle the Reporting Person to one share of the Issuer's common stock or the cash equivalent, at the discretion of the Issuer (not shares of common stock only).
- [F2]The RSUs were issued to the Reporting Person on November 27, 2018 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021. The award will cease vesting at such time as the Reporting Person is no longer a director of the Issuer and any unvested portion of the RSU will be forfeited immediately.
- [F3]The common stock options were issued to the Reporting Person on November 27, 2018 in connection with joining the Issuer's board of directors pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.
Documents
Issuer
Hancock Jaffe Laboratories, Inc.
CIK 0001661053
Entity typeother
Related Parties
1- filerCIK 0001754588
Filing Metadata
- Form type
- 4/A
- Filed
- Nov 5, 7:00 PM ET
- Accepted
- Nov 6, 4:05 PM ET
- Size
- 8.7 KB