0001140361-21-032105.txt : 20210922 0001140361-21-032105.hdr.sgml : 20210922 20210922165724 ACCESSION NUMBER: 0001140361-21-032105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210920 FILED AS OF DATE: 20210922 DATE AS OF CHANGE: 20210922 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sidhu Roger CENTRAL INDEX KEY: 0001884115 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11460 FILM NUMBER: 211270155 MAIL ADDRESS: STREET 1: C/O BROOKLYN IMMUNOTHERAPEUTICS, INC. STREET 2: 140 58TH STREET, BUILDING A, SUITE 2100 CITY: BROOKLYN STATE: NY ZIP: 11220 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Brooklyn ImmunoTherapeutics, Inc. CENTRAL INDEX KEY: 0000748592 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 311103425 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 140 58TH STREET, BUILDING A STREET 2: SUITE 2100 CITY: BROOKLYN STATE: NY ZIP: 11220 BUSINESS PHONE: (212) 582-1199 MAIL ADDRESS: STREET 1: 140 58TH STREET, BUILDING A STREET 2: SUITE 2100 CITY: BROOKLYN STATE: NY ZIP: 11220 FORMER COMPANY: FORMER CONFORMED NAME: NTN BUZZTIME INC DATE OF NAME CHANGE: 20051230 FORMER COMPANY: FORMER CONFORMED NAME: NTN COMMUNICATIONS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ALROY INDUSTRIES INC DATE OF NAME CHANGE: 19850411 4 1 form4.xml FORM 4 X0306 4 2021-09-20 0000748592 Brooklyn ImmunoTherapeutics, Inc. BTX 0001884115 Sidhu Roger C/O BROOKLYN IMMUNOTHERAPEUTICS, INC. 140 58TH STREET, BUILDING A, SUITE 2100 BROOKLYN NY 11220 true See Remarks Stock Option 9.96 2021-09-20 4 A 0 161300 0 A 2031-09-20 Common Stock 161300 161300 D Restricted Stock Unit 2021-09-20 4 A 0 80650 0 A 2031-09-20 Common Stock 80650 80650 D The option vests and becomes exercisable over four years, with twenty-five percent of the shares covered thereby vesting on September 20, 2022, and 1/36 of the remaining shares covered thereby vesting on the twentieth day of each calendar month from October 2022 through September 20, 2025, subject to continued service through each vesting date. Each restricted stock unit represents a contingent right to receive one share of common stock. The RSU Grant vests and becomes exercisable in four equal installments on September 20 of each of 2022, 2023, 2024 and 2025, provided that it shall vest in full immediately prior to a change in control (as defined in Dr. Sidhu's Executive Employment Agreement, effective September 20, 2021), subject to continued service through each vesting date. Chief Medical Officer /s/Bella Zaslavsky, Attorney-in-Fact for Roger Sidhu 2021-09-22