x None
Entity Type
0001661053
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 Hancock Jaffe Laboratories, Inc.
Jurisdiction of Incorporation/Organization
DELAWARE
 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed  



2. Principal Place of Business and Contact Information
Name of Issuer  
 Hancock Jaffe Laboratories, Inc.  
Street Address 1 Street Address 2
 70 DOPPLER  
City State/Province/Country ZIP/Postal Code Phone No. of Issuer
 IRVINE  CALIFORNIA  92618  (949) 261-2900 



3. Related Persons
Last Name First Name Middle Name
Berman Robert Andrew
Street Address 1 Street Address 2
70 Doppler
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  CEO

Last Name First Name Middle Name
Glynn Craig
Street Address 1 Street Address 2
70 Doppler
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  Interim CFO and Interim Treasurer

Last Name First Name Middle Name
Shrivastava Sanjay
Street Address 1 Street Address 2
70 Doppler
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Gray Robert C.
Street Address 1 Street Address 2
70 Doppler
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 
Last Name First Name Middle Name
Duhay Francis
Street Address 1 Street Address 2
70 Doppler
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Jenusaitis Matthew M.
Street Address 1 Street Address 2
70 Doppler
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Glickman Mark H.
Street Address 1 Street Address 2
70 Doppler
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  CVO and CMO

 


4. Industry Group
o Agriculture   Health Care o Retailing
  Banking & Financial Services   x Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance   Technology
  o Insurance   o Hospitals & Physicians   o Computers
  o Investing   o Pharmaceuticals   o Telecommunications
  o Investment Banking   o Other Health Care   o Other Technology
  o Pooled Investment Fund

        Travel
  o Other Banking & Financial Services o Manufacturing   o Airlines & Airports
  Real Estate   o Lodging & Conventions
  o Commercial   o Tourism & Travel Services
  o Construction   o Other Travel
  o REITS & Finance o Other
  o Residential  
  o Other Real Estate  
o Business Services  
  Energy  
  o Coal Mining  
  o Electric Utilities  
  o Energy Conservation  
  o Environmental Services  
  o Oil & Gas  
  o Other Energy  


5. Issuer Size
Revenue Range Aggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale  2020-07-21 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests x Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities x Option, Warrant or Other Right to Acquire Another Security
x Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
   


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary)  
  

11. Minimum Investment
Minimum investment accepted from any outside investor $ 100000 USD

12. Sales Compensation
Recipient Recipient CRD Number o None
 Ladenburg Thalmann & Co. Inc.,  505
(Associated) Broker or Dealer x None (Associated) Broker or Dealer CRD Number x None
     
Street Address 1 Street Address 2
 999 VANDERBILT BEACH ROAD,  SUITE 200
City State/Province/Country ZIP/Postal Code
 NAPLES,  FLORIDA  34108
State(s) of Solicitation x All States o Foreign/Non-US
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 1556000 USD o Indefinite
Total Amount Sold $ 1556000 USD  
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
 The Series C Convertible Preferred Stock and warrants were issued in a private placement that closed concurrently with an underwritten public offering, as disclosed on the issuer's Current Report on Form 8-K, filed with the SEC on July 21, 2020.


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 4


15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions $ 102820 USD o Estimate
Finders' Fees $ 0 USD o Estimate
 
Clarification of Response (if Necessary)
 Placement agent fees.


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
  $ 0 USD o