0001493152-20-019736.txt : 20201021 0001493152-20-019736.hdr.sgml : 20201021 20201021160533 ACCESSION NUMBER: 0001493152-20-019736 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190913 FILED AS OF DATE: 20201021 DATE AS OF CHANGE: 20201021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jenusaitis Matthew CENTRAL INDEX KEY: 0001357864 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38325 FILM NUMBER: 201250618 MAIL ADDRESS: STREET 1: 2 GOODYEAR CITY: IRVINE STATE: CA ZIP: 92618 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hancock Jaffe Laboratories, Inc. CENTRAL INDEX KEY: 0001661053 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 330936180 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 70 DOPPLER CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-261-2900 MAIL ADDRESS: STREET 1: 70 DOPPLER CITY: IRVINE STATE: CA ZIP: 92618 4 1 ownership.xml X0306 4 2019-09-13 0 0001661053 Hancock Jaffe Laboratories, Inc. HJLI 0001357864 Jenusaitis Matthew C/O HANCOCK JAFFE LABORATORIES, INC. 70 DOPPLER IRVINE CA 92618 1 0 0 0 Common Stock 2020-07-18 4 A 0 62500 0 A 62500 D Restricted Stock Units 2019-09-13 4 A 0 78125 0 A Common Stock 78125 78125 D Stock Option (Right to Buy) 2.00 2019-09-13 4 A 0 60000 0 A 2029-09-13 Common Stock 60000 60000 D Stock Option (Right to Buy) 0.40 2020-07-18 4 A 0 100000 0 A 2030-07-18 Common Stock 100000 100000 D Upon vesting, each Restricted Stock Unit ("RSU") entitles the Reporting Person to one share of the Issuer's common stock or the cash equivalent, at the discretion of the Issuer. The RSU were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) September 13, 2020; (ii) September 13, 2021; and (iii) September 13, 2022. The common stock options were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from September 13, 2019. The common stock options were issued to the Reporting Person pursuant to the Plan on July 18, 2020 as part of the annual board compensation package for 2020. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the 2020 calendar year. /s/ Matthew Jenusaitis 2020-10-21