Smith Edward B III 4
4 · HEAT BIOLOGICS, INC. · Filed Nov 13, 2020
Insider Transaction Report
Form 4
Smith Edward B III
Director
Transactions
- Sale
Common Stock
2020-11-12$1.03/sh−103,304$106,403→ 0 total(indirect: See Footnote)
Holdings
- 1,001
Common Stock
Footnotes (2)
- [F1]These shares of common stock are owned directly by Aristar Ventures III, LLC ("Aristar Ventures III") and indirectly by Aristar Capital Management, LLC, an entity of which Mr. Smith is the managing member and exercises investment discretion. Aristar Capital Management, LLC is the investment manager of Aristar Ventures III. The shares were sold in connection with the dissolution and winding up of Aristar Ventures III, which is nearing the end of its fund life.
- [F2]Mr. Smith is deemed to beneficially own the shares held by such entities in his role as managing member and his control over the voting and disposition of any shares held by Aristar Ventures III. Mr. Smith disclaims beneficial ownership of the shares of common stock, except to the extent of any pecuniary interest (as defined in Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended) that he may have in such entities.