0001209191-23-056086.txt : 20231120 0001209191-23-056086.hdr.sgml : 20231120 20231120165548 ACCESSION NUMBER: 0001209191-23-056086 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231117 FILED AS OF DATE: 20231120 DATE AS OF CHANGE: 20231120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rhode Peter CENTRAL INDEX KEY: 0001866276 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40591 FILM NUMBER: 231423420 MAIL ADDRESS: STREET 1: C/O HCW BIOLOGICS, INC. STREET 2: 2929 N COMMERCE PKWY CITY: MIRAMAR STATE: FL ZIP: 33025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HCW Biologics Inc. CENTRAL INDEX KEY: 0001828673 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 825024477 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2929 N COMMERCE PKWY CITY: MIRAMAR STATE: FL ZIP: 33025 BUSINESS PHONE: 954-842-2024 MAIL ADDRESS: STREET 1: 2929 N COMMERCE PKWY CITY: MIRAMAR STATE: FL ZIP: 33025 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-11-17 0 0001828673 HCW Biologics Inc. HCWB 0001866276 Rhode Peter C/O HCW BIOLOGICS INC 2929 N. COMMERCE PARKWAY MIRAMAR FL 33025 0 1 0 0 See Remarks 0 Common Stock 2023-11-17 4 M 0 15000 0.14 A 63500 D Stock Option Grant (Right to Buy) 0.14 2023-11-17 4 M 0 15000 0.00 D 2029-12-19 Common Stock 15000 36427 D These option shares were part of a stock option grant covering 85,713 shares of common stock. 20% of the total shares subject to the stock option grant vested on May 30, 2020; 20% of the total shares subject to the stock option grant vested on May 30, 2021; 25% of the total shares subject to the stock option grant vested on May 30, 2022; and 35% of the total shares subject to the stock option grant vested on May 30, 2023, subject to the reporting person's continuous service through the applicable vesting date. Title of the Officer: Chief Scientific Officer and Vice President of Clinical Operations. /s/ Nicole Valdivieso, as Attorney-in-Fact for Peter Rhode 2023-11-20