UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | 08/04/2014 | 08/03/2024 | Common Stock | 20,000 | $ 1 | I | Daniel Wolfe |
Stock Option (Right to Buy) | Â (1) | 08/03/2024 | Common Stock | 60,000 | $ 1 | I | Daniel Wolfe |
Common Stock Purchase Warrant (2) | 07/31/2014 | 02/02/2024 | Common Stock | 255,120 | $ 0.2451 | D | Â |
Common Stock Purchase Warrant | 07/31/2014 | 07/30/2019 | Common Stock | 1,500,000 | $ 2 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARRIS & HARRIS GROUP INC /NY/ 1450 BROADWAY 24TH FLOOR NEW YORK, NY 10018 |
 |  X |  |  |
/s/ Daniel Wolfe, President | 04/03/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The option vests and becomes exercisable as follows: (a) 36,667 shares were vested as of August 4, 2014, and (b) 23,333 will vest in 14 equal monthly installments through October 1, 2015. The option has been issued to Daniel Wolfe, a director of the Issuer. Mr. Wolfe has assigned the economic benefit of the option to the reporting person. |
(2) | Represents a warrant issued to the reporting person in exchange for a warrant previously issued by Enumeral Biomedical Corp. (the "Predecessor") pursuant to the terms of the merger of the Predecessor with a wholly-owned subsidiary of the Issuer. |