MONAHAN JOHN J

SEC source: 0001104659-26-001384 · tm262266-3_4seq1.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · 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: 0001104659-25-043509 · tm2513725-2_4seq1.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · 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: 0001104659-23-126369 · tm2332964-1_4seq1.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · 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: 0001104659-22-127973 · tm2232925-3_4seq1.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · 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: 0001079973-22-001516 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,960

Underlying: Common Stock · 101,960 shares

Expires 2032-12-07

F1 · kind: These stock options vest pro rata on a monthly basis over a twelve-month period commencing on date of grant.

F1 · derivative.exercise_date: These stock options vest pro rata on a monthly basis over a twelve-month period commencing on date of grant.

SEC source: 0001553350-22-000007 · monahan4.xml · derivative · entry 2

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,467

Underlying: Common Stock · 32,467 shares

Expires 2031-12-29

F1 · kind: On December 30, 2021, the board of directors of Heat Biologics, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Dr. Monahan on December 13, 2021 covering 32,467 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: These stock options vest pro rata on a monthly basis over a twelve- month period commencing 1/13/2022

SEC source: 0001553350-22-000007 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,467 shares

Expires 2031-12-12

F1 · kind: On December 30, 2021, the board of directors of Heat Biologics, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Dr. Monahan on December 13, 2021 covering 32,467 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: 0001104659-21-153631 · tm2136313-2_4seq1.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · 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: 0001553350-21-001165 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,467

Underlying: Common Stock · 32,467 shares

Expires 2031-12-12

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

SEC source: 0001553350-21-000006 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,217

Underlying: Common Stock · 65,217 shares

Expires 2031-01-03

F1 · derivative.exercise_date: The stock options to purchase 65,217 shares of Heat Biologics, Inc. common stock vest immediately.

SEC source: 0001104659-20-140994 · tm2039654d2_4seq1.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · 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: 0001513162-20-000174 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-13

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning August 31, 2020.

SEC source: 0001553350-20-000004 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-01-02

F1 · derivative.exercise_date: The stock option to purchase 150,000 shares of Common Stock vests 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 as a member of the Board of Directors.

SEC source: 0001513162-19-000226 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-10-23

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning November 30, 2019.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 4

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 3

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 2

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-19-000116 · primary_doc.xml · nonDerivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,900

SEC source: 0001553350-19-000011 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: The stock options 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: 0001513162-18-000255 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2028-10-08

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2010 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning October 31, 2018.

SEC source: 0001553350-18-000037 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,294

Underlying: Common Stock · 95,294 shares

Expires 2028-01-07

F1 · derivative.exercise_date: The option vests in full on the one year anniversary of the date of grant.

SEC source: 0001513162-17-000266 · primary_doc.xml · derivative · entry 2

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-09-22

F2 · security: Right-To-Buy, pursuant to the Plan.

F3 · derivative.exercise_date: The options vest and become exercisable in four (4) equal installments on each of December 31, 2017, March 31, 2018, June 30, 2018 and September 30, 2018.

SEC source: 0001513162-17-000266 · primary_doc.xml · nonDerivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · security: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

F1 · price: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

SEC source: 0001513162-17-000254 · primary_doc.xml · derivative · entry 4

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-17-000254 · primary_doc.xml · derivative · entry 3

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-17-000254 · primary_doc.xml · derivative · entry 2

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-17-000254 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001553350-17-000461 · monahan4.xml · nonDerivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,169

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 the reporting person, who agreed to sell their shares in Pelican to the Company (the "Acquisition"). The reporting person is a member of the Company's board of directors.

F2 · shares: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, the reporting person sold approximately 85% of his shares of capital stock in Pelican held through a limited liability company in exchange for cash consideration and 3,958 shares 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 the reporting person, who agreed to sell their shares in Pelican to the Company (the "Acquisition"). The reporting person is a member of the Company's board of directors.

F2 · price: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, the reporting person sold approximately 85% of his shares of capital stock in Pelican held through a limited liability company in exchange for cash consideration and 3,958 shares 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 the reporting person, who agreed to sell their shares in Pelican to the Company (the "Acquisition"). The reporting person is a member of the Company's board of directors.

F2 · balance_after: (Continued from footnote (1)) In connection with the closing of the Acquisition, which occurred on April 28, 2017, the reporting person sold approximately 85% of his shares of capital stock in Pelican held through a limited liability company in exchange for cash consideration and 3,958 shares 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.

SEC source: 0001513162-17-000015 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2017-01-03

F1 · security: Right-To-Buy, pursuant to the ITUS Corporation 2010 Share Incentive Plan.

F2 · derivative.exercise_date: options vest and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-17-000260 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F1 · security: Right-To-Buy, pursuant to the ITUS Corporation 2010 Share Incentive Plan.

F3 · security: This Form 4/A is being filed to correct a typo in the expiration date column to reflect that the Employee Stock Option expires on January 3, 2027, not January 3, 2017.

F2 · derivative.exercise_date: options vest and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001553350-17-000018 · monahan4.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2027-01-01

F1 · derivative.exercise_date: The option vests in full on the one year anniversary of the date of grant.