Initial Statement of Beneficial Ownership (3)
December 23 2019 - 5:01PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Zosh Christopher |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/13/2019
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3. Issuer Name and Ticker or Trading Symbol
CLEVELAND BIOLABS INC [CBLI]
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(Last)
(First)
(Middle)
C/O CLEVELAND BIOLABS, INC., 73 HIGH STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Vice President of Finance / |
(Street)
BUFFALO, NY 14203
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | 7/9/2015 | 4/22/2025 | Common Stock | 300 | $3.2000 | D | |
Employee Stock Option (right to buy) | 7/9/2015 | 6/16/2024 | Common Stock | 125 | $10.4000 | D | |
Explanation of Responses: |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Zosh Christopher C/O CLEVELAND BIOLABS, INC. 73 HIGH STREET BUFFALO, NY 14203 |
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| Vice President of Finance |
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Signatures
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/s/ Christopher Zosh | | 12/23/2019 |
**Signature of Reporting Person | Date |
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