Wolf Jeffrey Alan

SEC source: 0001104659-26-001381 · tm262266-1_4seq1.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-01-04

F1 · shares: These stock options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These stock options vest pro rata on a monthly basis over 12 months.

SEC source: 0001104659-25-043511 · tm2513725-4_4seq1.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-04-29

F1 · shares: These stock options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These stock options vest pro rata on a monthly basis over 12 months.

SEC source: 0001079973-24-000776 · ownership.xml · derivative · entry 4

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500,000

Underlying: Common Stock · 2,500,000 shares

Expires 2029-05-15

F1 · kind: On May 16, 2024 Scorpius Holdings, Inc. (the "Company") agreed to issue approximately $6 million of securities including shares of its common stock and warrants (the "Warrants") to purchase shares of common stock to certain investors, including Jeffrey Alan Wolf. The combined purchase price of each unit of common stock and accompanying Warrant was $0.10.

F1 · shares: On May 16, 2024 Scorpius Holdings, Inc. (the "Company") agreed to issue approximately $6 million of securities including shares of its common stock and warrants (the "Warrants") to purchase shares of common stock to certain investors, including Jeffrey Alan Wolf. The combined purchase price of each unit of common stock and accompanying Warrant was $0.10.

F1 · price: On May 16, 2024 Scorpius Holdings, Inc. (the "Company") agreed to issue approximately $6 million of securities including shares of its common stock and warrants (the "Warrants") to purchase shares of common stock to certain investors, including Jeffrey Alan Wolf. The combined purchase price of each unit of common stock and accompanying Warrant was $0.10.

SEC source: 0001079973-24-000776 · ownership.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,572,789

F1 · price: On May 16, 2024 Scorpius Holdings, Inc. (the "Company") agreed to issue approximately $6 million of securities including shares of its common stock and warrants (the "Warrants") to purchase shares of common stock to certain investors, including Jeffrey Alan Wolf. The combined purchase price of each unit of common stock and accompanying Warrant was $0.10.

F2 · ownership.direct: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

SEC source: 0001104659-23-126381 · tm2332964-2_4seq1.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2030-12-14

F1 · shares: These stock options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These stock options vest pro rata on a monthly basis over 12 months.

SEC source: 0001104659-22-127974 · tm2232925-4_4seq1.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-12-15

F1 · shares: These stock options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These stock options vest pro rata on a monthly basis over 12 months.

SEC source: 0001079973-22-001524 · wolf4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,843,137

Underlying: Common Stock · 2,843,137 shares

Expires 2032-12-07

F1 · kind: The options vest 1/3 January 3, 2023 and the balance vests monthly on a pro rata basis over thirty-six months.

F1 · derivative.exercise_date: The options vest 1/3 January 3, 2023 and the balance vests monthly on a pro rata basis over thirty-six months.

SEC source: 0001553350-22-000008 · wolf4.xml · derivative · entry 2

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,987

Underlying: Common Stock · 231,987 shares

Expires 2031-12-30

F1 · kind: On December 28, 2021, the board of directors of Heat Biologics, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Wolf on December 13, 2021 covering 231,987 shares under the Company's 2018 Stock Incentive Plan (the "Plan") and granted new stock options under the Plan, on substantially similar terms to the rescinded stock options, which new stock options are subject to forfeiture in the event an amendment to increase the number of shares of common stock available for grant under the Plan is not adopted by the Company's stockholders.

F2 · derivative.exercise_date: The stock options to purchase 231,987 shares of Common Stock vest on the two-year anniversary of the date of grant, subject to the reporting person's continued service to the Company and is subject to forfeiture under certain circumstances.

SEC source: 0001553350-22-000008 · wolf4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 231,987 shares

Expires 2031-12-12

F1 · kind: On December 28, 2021, the board of directors of Heat Biologics, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Wolf on December 13, 2021 covering 231,987 shares under the Company's 2018 Stock Incentive Plan (the "Plan") and granted new stock options under the Plan, on substantially similar terms to the rescinded stock options, which new stock options are subject to forfeiture in the event an amendment to increase the number of shares of common stock available for grant under the Plan is not adopted by the Company's stockholders.

SEC source: 0001104659-21-153635 · tm2136313-4_4seq1.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-12-23

F1 · shares: These stock options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These stock options vest pro rata on a monthly basis over 12 months.

SEC source: 0001553350-21-001169 · wolf4.xml · derivative · entry 4

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,761

Underlying: Common Stock · 393,761 shares

Expires 2031-12-12

F5 · derivative.exercise_date: The stock options to purchase 393,761 shares of Common Stock vest on the two-year anniversary of the date of grant, subject to the reporting person's continued service to the Company.

SEC source: 0001553350-21-001169 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,072,789

F1 · shares: The restricted shares of Heat Biologics, Inc. (the "Company") common stock, par value $0.0002 per share (the "Common Stock"), vest as follows: 1/2 vest immediately and the remaining 1/2 vest and are no longer subject to forfeiture on January 1, 2022, subject to the reporting person's continued service to the Company.

F2 · balance_after: Does not include 3,781 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

F2 · ownership.direct: Does not include 3,781 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

SEC source: 0001553350-21-000010 · wolf4.xml · derivative · entry 4

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,980

Underlying: Common Stock · 147,980 shares

Expires 2031-01-03

F5 · derivative.exercise_date: The stock options to purchase 147,980 shares of Common Stock vest on the two year anniversary of the date of grant, subject to the reporting person's continued service to the Company.

SEC source: 0001553350-21-000010 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,484

F1 · shares: The restricted shares of Heat Biologics, Inc. (the "Company") common stock, par value $0.0002 per share (the "Common Stock"), vest as follows: 1/2 vest immediately and the remaining 1/2 vest and are no longer subject to forfeiture on the one year anniversary of the date of grant, subject to the reporting person's continued service to the Company.

F2 · balance_after: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

F6 · balance_after: Reflects a one for seven reverse stock split effected on December 11, 2020.

F2 · ownership.direct: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

SEC source: 0001104659-20-140997 · tm2039654d4_4seq1.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-12-30

F1 · shares: These stock options will vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These stock options will vest pro rata on a monthly basis over 12 months.

SEC source: 0001553350-20-000800 · wolf4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,412,100

Underlying: Common Stock · 1,412,100 shares

Expires 2030-08-23

F1 · derivative.exercise_date: These options to purchase 1,412,100 shares of Heat Biologics, Inc. common stock were issued to Jeffrey Wolf on August 24, 2020 pursuant to a contractual obligation in his employment agreement that was entered into in 2009. These options fully vested upon grant.

SEC source: 0001553350-20-000673 · wolf4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2030-07-27

F1 · derivative.exercise_date: These options to purchase 2,000,000 shares of Heat Biologics, Inc. common stock were issued to Jeffrey Wolf on July 28, 2020 pursuant to a contractual obligation in his employment agreement that was entered into in 2009. These options fully vested upon grant.

SEC source: 0001553350-20-000002 · wolf4.xml · nonDerivative · entry 2

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,768,693

F1 · shares: The restricted shares of Heat Biologics, Inc. (the "Company") common stock, par value $0.0002 per share (the "Common Stock"), 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, subject to the reporting person's continued service to the Company.

F2 · balance_after: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

F2 · ownership.direct: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

SEC source: 0001553350-20-000002 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,788,693

F1 · shares: The restricted shares of Heat Biologics, Inc. (the "Company") common stock, par value $0.0002 per share (the "Common Stock"), 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, subject to the reporting person's continued service to the Company.

F2 · balance_after: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

F2 · ownership.direct: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

SEC source: 0001553350-20-000007 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,788,693

F1 · date: This Amendment is being filed to correct a typographical error for the date of transaction.

F2 · shares: The restricted shares of Heat Biologics, Inc. (the "Company") common stock, par value $0.0002 per share (the "Common Stock"), 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, subject to the reporting person's continued service to the Company.

F2 · balance_after: The restricted shares of Heat Biologics, Inc. (the "Company") common stock, par value $0.0002 per share (the "Common Stock"), 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, subject to the reporting person's continued service to the Company.

F3 · ownership.direct: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

SEC source: 0001104659-19-070228 · tm1923941d4_form4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2026-12-04

F1 · shares: These stock options vest as follows: 1/3 will vest on the one year anniversary of the grant date, 1/3 will vest on the two year anniversary of the grant date and the remaining 1/3 will vest on the three year anniversary of the grant date.

F1 · derivative.exercise_date: These stock options vest as follows: 1/3 will vest on the one year anniversary of the grant date, 1/3 will vest on the two year anniversary of the grant date and the remaining 1/3 will vest on the three year anniversary of the grant date.

SEC source: 0001553350-19-000009 · wolf4.xml · derivative · entry 4

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 595,588 shares

Expires 2029-01-01

F6 · derivative.exercise_date: The stock options to purchase 800,000 shares of Common Stock 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.

SEC source: 0001553350-19-000009 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 848,317

F1 · shares: The 800,000 restricted shares of Heat Biologics, Inc. (the "Company") common stock, $0.0002 par value per share (the "Common Stock"), 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.

F2 · balance_after: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by Orion, Seed-One and the Trust 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.

F3 · balance_after: The share numbers reflect the one for ten reverse stock split effected by the Company on January 19, 2018.

F2 · ownership.direct: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by Orion, Seed-One and the Trust 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.

SEC source: 0001553350-20-000001 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 888,693

F1 · shares: This Amendment is being filed to correct a typographical error in the amount of securities beneficially owned following reported transaction. The amount does not reflect the reverse stock split that was effected on January 18, 2018.

F2 · balance_after: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

F2 · ownership.direct: Does not include 26,468 shares held by Mr. Wolf's children's trust (the "Trust"). Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by the Trust, Orion (as defined below), and Seed-One (as defined below), 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.

SEC source: 0001144204-18-063627 · tv508645_4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,500

Underlying: Common Stock · 79,500 shares

Expires 2025-12-06

F1 · shares: These options will vest monthly on a pro rata basis over 36 consecutive months.

F1 · derivative.exercise_date: These options will vest monthly on a pro rata basis over 36 consecutive months.

SEC source: 0001553350-18-000033 · wolf4.xml · derivative · entry 4

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595,588

Underlying: Common Stock · 595,588 shares

Expires 2028-01-01

F5 · derivative.exercise_date: These stock options vest monthly on a pro rata basis over a four year period commencing February 1, 2018.

SEC source: 0001553350-18-000033 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 886,950

F1 · shares: The 665,720 shares of Heat Biologics, Inc. (the "Company") common stock, $0.0002 par value per share (the "Common Stock"), are represented by 665,720 restricted stock units ("RSUs") granted under the Company's stock incentive plan. Each RSU represents a contingent right to receive one share of Common Stock. Of the 665,720 RSUs, 260,720 vest immediately and may not be sold until the one year anniversary of the date of grant and 405,000 RSUs vest as follows: (i) 101,250 vested on January 8, 2018; (ii) 101,250 will vest on January 8, 2019; (iii) 101,250 will vest on January 8, 2020; and (iv) 101,250 will vest on January 8, 2021; provided that the reporting person continues to serve as a member of the Board of Directors or otherwise is not terminated for cause prior to such dates.

SEC source: 0001144204-17-064825 · tv481801_4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2024-12-19

F1 · shares: These stock options vest in full on the one year anniversary of the grant date.

F1 · derivative.exercise_date: These stock options vest in full on the one year anniversary of the grant date.

SEC source: 0001553350-17-000463 · wolf4.xml · nonDerivative · entry 3

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 716,195

F1 · shares: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · shares: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F1 · price: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · price: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F1 · balance_after: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · balance_after: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F4 · balance_after: Held by Seed-One. Mr. Wolf is managing member of Seed-One.

F4 · ownership.nature: Held by Seed-One. Mr. Wolf is managing member of Seed-One.

F5 · ownership.nature: Does not include 89,957 shares held by Mr. Wolf's children's trust (the "Trust") prior to the Acquisition and 117,729 shares acquired by the Trust in the Acquisition. Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the shares held by the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by Orion, Seed-One and the Trust 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.

SEC source: 0001553350-17-000463 · wolf4.xml · nonDerivative · entry 2

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 771,723

F1 · shares: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · shares: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F1 · price: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · price: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F1 · balance_after: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · balance_after: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F3 · balance_after: Held by Orion. Mr. Wolf is managing member of Orion.

F3 · ownership.nature: Held by Orion. Mr. Wolf is managing member of Orion.

F5 · ownership.nature: Does not include 89,957 shares held by Mr. Wolf's children's trust (the "Trust") prior to the Acquisition and 117,729 shares acquired by the Trust in the Acquisition. Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the shares held by the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by Orion, Seed-One and the Trust 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.

SEC source: 0001553350-17-000463 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,230

F1 · shares: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · shares: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F1 · price: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F2 · price: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, Mr. Wolf, Orion and Seed-One sold approximately 85% of their shares of capital stock in Pelican held through the LLC in exchange for cash consideration and 16,349, 76,070 and 179,333 shares, respectively, of the Company's common stock, $0.0002 par value per share (the "Common Stock"). All of the shares of Common Stock issued in the Acquisition are currently held in escrow and are subject to forfeiture during the six month period following the Acquisition to satisfy certain indemnification obligations.

F1 · balance_after: On March 7, 2017, Heat Biologics, Inc. (the "Company") entered into a Stock Purchase Agreement, as amended, with Pelican Therapeutics, Inc. ("Pelican"), and certain holders of the outstanding capital stock of Pelican, including Mr. Wolf, Orion and Seed-One (as defined below), who agreed to sell their shares in Pelican to the Company (the "Acquisition"). Jeffrey Wolf is the Company's President, Chief Executive Officer and Chairman of the Company's board of directors. Mr. Wolf is the managing member of a limited liability company (the "LLC") that owned 61.1% of the outstanding capital stock of Pelican and Orion Holdings V, LLC ("Orion") and Seed-One Holdings VI, LLC ("Seed-One") owned in the aggregate 31.6% of the membership interests in the LLC.

F5 · balance_after: Does not include 89,957 shares held by Mr. Wolf's children's trust (the "Trust") prior to the Acquisition and 117,729 shares acquired by the Trust in the Acquisition. Mr. Wolf is not the trustee, nor does he claim beneficial ownership of the shares held by the Trust. Mr. Wolf disclaims beneficial ownership of the shares of Common Stock held by Orion, Seed-One and the Trust 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.

SEC source: 0001553350-17-000020 · wolf4.xml · derivative · entry 6

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2027-01-01

F6 · derivative.exercise_date: These stock options vest monthly on a pro rata basis over a four year period commencing February 1, 2017.

SEC source: 0001553350-17-000020 · wolf4.xml · nonDerivative · entry 2

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,881

F2 · shares: The 125,000 shares of Common Stock are represented by 125,000 RSUs granted under the Plan. Each RSU represents a contingent right to receive one share of Common Stock. The 125,000 RSUs will vest as follows: (i) 31,250 will vest on January 2, 2017; (ii) 31,250 will vest on January 2, 2018; (iii) 31,250 will vest on January 2, 2019; and (iv) 31,250 will vest on January 2, 2020, provided that the reporting person continues to serve as a member of the Board of Directors or otherwise is not terminated for cause prior to such dates.

SEC source: 0001553350-17-000020 · wolf4.xml · derivative · entry 5

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2025-12-29

F6 · derivative.exercise_date: These stock options vest monthly on a pro rata basis over a four year period commencing February 1, 2017.

SEC source: 0001553350-17-000020 · wolf4.xml · nonDerivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,881

F1 · shares: The 75,000 shares of Heat Biologics, Inc. (the "Company") common stock, $0.0002 par value per share (the "Common Stock"), are represented by 75,000 restricted stock units ("RSUs") granted under the Company's Amended and Restated 2014 Stock Incentive Plan (the "Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 75,000 RSUs will vest as follows: (i) 18,750 will vest on December 30, 2016; (ii) 18,750 will vest on December 30, 2017; (iii) 18,750 will vest on December 30, 2018; and (iv) 18,750 will vest on December 30, 2019, provided that the reporting person continues to serve as a member of the Board of Directors or otherwise is not terminated for cause prior to such dates.

SEC source: 0001144204-16-137741 · v454262_4.xml · derivative · entry 1

Wolf Jeffrey Alan · CIK 0001381450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,750

Underlying: Common Stock · 168,750 shares

Expires 2023-11-29

F1 · shares: These stock options vest as follows: 1/3 vested on the grant date, 1/3 will vest on the one year anniversary of the grant date and the remaining 1/3 will vest on the two year anniversary of the grant date.

F1 · derivative.exercise_date: These stock options vest as follows: 1/3 vested on the grant date, 1/3 will vest on the one year anniversary of the grant date and the remaining 1/3 will vest on the two year anniversary of the grant date.