Statement of Changes in Beneficial Ownership (4)
January 06 2021 - 5:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Rotino Gianluca |
2. Issuer Name and Ticker or Trading Symbol
Kiromic Biopharma, Inc.
[
KRBP
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O KIROMIC BIOPHARMA INC., 7707 FANNIN, SUITE 140 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/18/2020 |
(Street)
HOUSTON, TX 77054
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $8.14 | 12/18/2020 | | A | | 4423 | | (1) | 12/17/2030 | Common Stock | 4423 | $0 | 4423 | D | |
Explanation of Responses: |
(1) | 4,054 of the shares subject to the option will vest on October 16, 2021 and the remaining 369 shares subject to the option will vest on November 16, 2021, subject to continuing service. |
Remarks: CHIEF STRATEGY AND INNOVATION OFFICER |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rotino Gianluca C/O KIROMIC BIOPHARMA INC. 7707 FANNIN, SUITE 140 HOUSTON, TX 77054 | X |
| See Remarks |
|
Signatures
|
/s/ Gianluca Rotino | | 1/6/2021 |
**Signature of Reporting Person | Date |
Kiromic BioPharma (NASDAQ:KRBP)
Historical Stock Chart
From Aug 2024 to Sep 2024
Kiromic BioPharma (NASDAQ:KRBP)
Historical Stock Chart
From Sep 2023 to Sep 2024