0001493152-20-013752.txt : 20200721 0001493152-20-013752.hdr.sgml : 20200721 20200721215608 ACCESSION NUMBER: 0001493152-20-013752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200718 FILED AS OF DATE: 20200721 DATE AS OF CHANGE: 20200721 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gray Robert CENTRAL INDEX KEY: 0001788480 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38325 FILM NUMBER: 201040140 MAIL ADDRESS: STREET 1: 70 DOPPLER 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 2020-07-18 0 0001661053 Hancock Jaffe Laboratories, Inc. HJLI 0001788480 Gray Robert C/O JAFFE LABORATORIES, 70 DOPPLER IRVINE CA 92618 1 0 0 0 Common Stock 2020-07-18 4 A 0 62500 0 A 78250 D Stock Option 0.40 2020-07-18 4 A 0 100000 0 A 2030-07-18 Common Stock 100000 100000 D Granted as part of the annual board compensation package for 2020. The common stock options were issued to the Reporting Person on July 18, 2020. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the calendar year. Any non-exercisable portion of the Option will immediately vest and become exercisable in the event that the grantees employment is terminated other than Cause (as defined in the "Employment Agreement") within 3 years of Change of Control as defined in the Plan. /s/ Robert C. Gray 2020-07-21