Initial Statement of Beneficial Ownership (3)
April 06 2021 - 4:06PM
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
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Alvino Mark |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/26/2021
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3. Issuer Name and Ticker or Trading Symbol
ABEONA THERAPEUTICS INC. [ABEO]
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(Last)
(First)
(Middle)
1330 AVENUE OF THE AMERICAS, 33RD FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
NEW YORK, NY 10019
(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) |
Common stock | 5000 | D | |
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 |
Stock Option (right to buy) | 11/26/2011 (1) | 4/15/2021 | Common stock | 700 | $113.50 | D | |
Stock Option (right to buy) | 11/24/2012 (1) | 4/15/2021 | Common stock | 700 | $30.50 | D | |
Stock Option (right to buy) | 9/7/2014 (1) | 4/15/2021 | Common stock | 10000 | $18.50 | D | |
Stock Option (right to buy) | 11/11/2015 (1) | 4/15/2021 | Common stock | 75000 | $7.34 | D | |
Stock Option (right to buy) | 5/13/2017 (1) | 4/15/2021 | Common stock | 50000 | $4.45 | D | |
Stock Option (right to buy) | 5/14/2018 (1) | 4/15/2021 | Common stock | 30000 | $16.00 | D | |
Stock Option (right to buy) | 11/21/2019 (1) | 4/15/2021 | Common stock | 19827 | $7.42 | D | |
Explanation of Responses: |
(1) | The options vested 100% six months after their respective grant dates. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Alvino Mark 1330 AVENUE OF THE AMERICAS, 33RD FLOOR NEW YORK, NY 10019 | X |
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Signatures
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/s/ Brendan M. O'Malley, as Attorney-in-fact | | 4/6/2021 |
**Signature of Reporting Person | Date |
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