0001493152-21-004623.txt : 20210223 0001493152-21-004623.hdr.sgml : 20210223 20210223172115 ACCESSION NUMBER: 0001493152-21-004623 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200718 FILED AS OF DATE: 20210223 DATE AS OF CHANGE: 20210223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glynn Craig CENTRAL INDEX KEY: 0001809590 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38325 FILM NUMBER: 21666864 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 0001809590 Glynn Craig C/O JAFFE LABORATORIES, 70 DOPPLER IRVINE CA 92618 0 1 0 0 Chief Financial Officer Stock Option 10.00 2020-07-18 4 A 0 4000 0 A 2030-07-18 Common Stock 4000 4000 D Stock Option 8.20 2021-02-18 4 A 0 324000 0 A 2031-02-18 Common Stock 324.000 324.000 D The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The stock option vests in equal quarterly installments over a three year period commencing October 18, 2020. The stock options vest in equal quarterly installments over a three year period, however the stock options may only become exercisable following receipt by the registrant of stockholder approval to increase the size of the Plan sufficiently to permit the exercise in full of such stock options under the Plan. If the registrant's stockholders do not approve an increase in the size of the Plan, the options will be void. /s/ Craig Glynn 2021-02-23