SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Zipp Brandon Joel

(Last) (First) (Middle)
1901 AVENUE OF THE STARS, 2ND FLOOR

(Street)
LOS ANGELES, CA 90067

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/24/2020
3. Issuer Name and Ticker or Trading Symbol
Vitality Biopharma, Inc. [ VBIO ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Science Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, par value $0.001 per share 14,000 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) 03/11/2013 03/11/2023 Common Stock, par value $0.001 per share 2,500 4.2 D
Employee Stock Option (Right to Buy) 03/12/2013 03/12/2023 Common Stock, par value $0.001 per share 7,500 4.4 D
Employee Stock Option (Right to Buy) 04/03/2014 04/03/2024 Common Stock, par value $0.001 per share 15,000 4.2 D
Employee Stock Option (Right to Buy) 01/01/2015 01/01/2025 Common Stock, par value $0.001 per share 20,000 3.4 D
Employee Stock Option (Right to Buy) 05/21/2015 05/21/2025 Common Stock, par value $0.001 per share 20,000 2.1 D
Employee Stock Option (Right to Buy) 07/18/2016 07/18/2026 Common Stock, par value $0.001 per share 370,234 0.5 D
Employee Stock Option (Right to Buy) 12/27/2017 12/27/2027 Common Stock, par value $0.001 per share 75,000 1.81 D
Employee Stock Option (Right to Buy)(1) 05/08/2019 05/08/2029 Common Stock, par value $0.001 per share 500,000 0.35 D
Explanation of Responses:
1. Option was granted on May 8, 2019. Vested as to 250,000 shares on May 8, 2020. Option on remaining 250,000 shares vests on May 8, 2021.
/s/ Brandon Zipp 10/23/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.