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*
Chiriva Internati Maurizio

(Last) (First) (Middle)
7707 FANNIN, SUITE 140

(Street)
HOUSTON TX 77054

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/15/2020
3. Issuer Name and Ticker or Trading Symbol
Kiromic Biopharma, Inc. [ KRBP ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman, CEO, and President
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 1,375,272 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
Restricted Stock Units (1) 08/20/2030 Common Stock 35,130 0 D
Restricted Stock Units (2) 08/20/2030 Common Stock 475,018 0 D
Explanation of Responses:
1. 25% of the Restricted Stock Units vest at the end of each of the first four consecutive calendar quarters. Notwithstanding anything to the contrary contained in this schedule or in the RSU Agreement, to the extent that the Grantee is subject to a lock up or similar agreement at the time of the vesting of any RSUs granted, then the vesting date of such RSUs shall be deferred until such time as such lock up or similar agreement has expired.
2. The Restricted Stock Units vest upon achievement of certain corporate milestones which were approved by the Company's Board of Directors on August 20, 2020. Notwithstanding anything to the contrary contained in this schedule or in the RSU Agreement, to the extent that the Grantee is subject to a lock up or similar agreement at the time of the vesting of any RSUs granted hereunder, then the vesting date of such RSUs shall be deferred until such time as such lock up or similar agreement has expired.
/s/ Maurizio Chiriva Internati 10/16/2020
** 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.
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