Form: D

Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(a)(5) under the Act.

April 9, 2013


FORM D
Notice of Exempt Offering of Securities

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s) Checkbox checked NoneEntity Type
0001476963
 Radio button checked Corporation
 Radio button not checked Limited Partnership
 Radio button not checked  Limited Liability Company
 Radio button not checked  General Partnership
 Radio button not checked  Business Trust
 Radio button not checked Other 
Name of Issuer
 HEAT BIOLOGICS, INC.
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
 Radio button not checked Over Five Years Ago
 Radio button checked Within Last Five Years (Specify Year)
2008
 Radio button not checked Yet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 HEAT BIOLOGICS, INC.
Street Address 1Street Address 2
 100 EUROPA DRIVE
 SUTE 420
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 CHAPEL HILL
 NORTH CAROLINA
 
 27517
 919-240-7133 




3. Related Persons

Last NameFirst NameMiddle Name
Wolf
Jeffrey
Alan
Street Address 1Street Address 2
 3606 Henningson Way 
 
CityState/Province/CountryZIP/Postal Code
 Durham
 NORTH CAROLINA
 27705
 
Relationship: Checkbox checked Executive Officer Checkbox checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Belsky
Paul
Marc
Street Address 1Street Address 2
 910 5th Avenue 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10024
 
Relationship: Checkbox not checked Executive Officer Checkbox checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Monahan
John
James
Street Address 1Street Address 2
 3141 Ashbourne Circle 
 
CityState/Province/CountryZIP/Postal Code
 San Ramon
 CALIFORNIA
 94583
 
Relationship: Checkbox not checked Executive Officer Checkbox checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Kharitonov
Michael
Street Address 1Street Address 2
 6 Sunset Terrace 
 
CityState/Province/CountryZIP/Postal Code
 Kensington
 CALIFORNIA
 94707
 
Relationship: Checkbox not checked Executive Officer Checkbox checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Smith, III
Edward
Byron
Street Address 1Street Address 2
 1120 Avenue of the Americas 
 Suite 1505
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10036
 
Relationship: Checkbox not checked Executive Officer Checkbox checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Harris
Jennifer
Lynn
Street Address 1Street Address 2
 4430 Sun Valley Drive 
 
CityState/Province/CountryZIP/Postal Code
 Durham
 NORTH CAROLINA
 27707
 
Relationship: Checkbox checked Executive Officer Checkbox not checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Silberman
Sandra
Leta
Street Address 1Street Address 2
 207 Booth Meadow Lane 
 
CityState/Province/CountryZIP/Postal Code
 Durham
 NORTH CAROLINA
 27713
 
Relationship: Checkbox checked Executive Officer Checkbox not checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 



Last NameFirst NameMiddle Name
Deyev
Vadim
Street Address 1Street Address 2
 5101 Collins Avenue 
 Apartment 10-U
CityState/Province/CountryZIP/Postal Code
 Miami Beach
 FLORIDA
 33140
 
Relationship: Checkbox checked Executive Officer Checkbox not checked Director Checkbox not checked Promoter
Clarification of Response (if Necessary)
 





4. Industry Group
  Radio button not checked Agriculture
Banking & Financial Services
  Radio button not checked  Commercial Banking
  Radio button not checked  Insurance
  Radio button not checked Investing
  Radio button not checked  Investment Banking
  Radio button not checked  Pooled Investment Fund

  Radio button not checked Other Banking & Financial Services
 Radio button not checked  Business Services
Energy
  Radio button not checked  Coal Mining
  Radio button not checked  Electric Utilities
  Radio button not checked  Energy Conservation
  Radio button not checked  Environmental Services
  Radio button not checked  Oil & Gas
  Radio button not checked  Other Energy
Health Care
  Radio button checked  Biotechnology
  Radio button not checked  Health Insurance
  Radio button not checked  Hospitals & Physicians
  Radio button not checked  Pharmaceuticals
  Radio button not checked  Other Health Care
   
   
   
  
 Radio button not checked  Manufacturing
Real Estate
  Radio button not checked Commercial
  Radio button not checked Construction
  Radio button not checked REITS & Finance
  Radio button not checked Residential
 Radio button not checked Other Real Estate
 Radio button not checked  Retailing
 Radio button not checked Restaurants
Technology
 Radio button not checked  Computers
 Radio button not checked  Telecommunications
 Radio button not checked  Other Technology
Travel
 Radio button not checked  Airlines & Airports
 Radio button not checked  Lodging & Conventions
 Radio button not checked  Tourism & Travel Services
 Radio button not checked  Other Travel
 Radio button not checked Other

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
 Radio button not checked No Revenues Radio button not checked  No Aggregate Net Asset Value
 Radio button not checked  $1 - $1,000,000 Radio button not checked $1 - $5,000,000
 Radio button not checked  $1,000,001 - $5,000,000 Radio button not checked  $5,000,001 - $25,000,000
 Radio button not checked $5,000,001 - $25,000,000 Radio button not checked  $25,000,001 - $50,000,000
 Radio button not checked $25,000,001 - $100,000,000 Radio button not checked  $50,000,001 - $100,000,000
 Radio button not checked  Over $100,000,000 Radio button not checked  Over $100,000,000
 Radio button checked  Decline to Disclose  Radio button not checked Decline to Disclose
 Radio button not checked  Not Applicable Radio button not checked  Not Applicable

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

7. Type of Filing
 Checkbox checked  New Notice Date of First Sale 
2013-03-25
 Checkbox not checked  First Sale Yet to Occur
 Checkbox not checked  Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year?  Radio button not checked  Yes  Radio button checked  No
 
 
9. Type(s) of Securities Offered (select all that apply)
 Checkbox not checked Pooled Investment Fund Interests Checkbox checked Equity
 Checkbox not checked Tenant-in-Common Securities  Checkbox not checked Debt
 Checkbox not checked Mineral Property Securities Checkbox checked Option, Warrant or Other Right to Acquire Another Security
 Checkbox not checked Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security Checkbox not checked 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?  Radio button not checked  Yes  Radio button checked  No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 10000
USD

12. Sales Compensation
Recipient Recipient CRD Number Checkbox not checked None
 
 
(Associated) Broker or Dealer Checkbox not checked None(Associated) Broker or Dealer CRD Number   Checkbox not checked None
 
 
Street Address 1Street Address 2
 
 
City State/Province/CountryZIP/Postal Code
 
 
 
State(s) of Solicitation  Checkbox not checked All States
 



13. Offering and Sales Amounts
 
Total Offering Amount $
 
USD Checkbox checked Indefinite
Total Amount Sold $
5050050
USD
Total Remaining to be Sold $
 
USD Checkbox checked Indefinite
Clarification of Response (if Necessary)
  
 
14. Investors

 Checkbox not checked 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:
20
 
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$
0
USD Checkbox not checked Estimate
Finders' Fees$
0
USD Checkbox not checked Estimate
Clarification of Response (if Necessary)
 
 

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.
 $ 
540000
USD Checkbox not checked Estimate
Clarification of Response (if Necessary)
The amount reflects the annual salary made by Heat Biologics, Inc. to the salaried individuals identified in item 3.

Signature and Submission
 
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission 
 In submitting this notice, each Issuer named above is: 
 
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above for one of the reasons stated in Rule 505(b)(2)(iii).
 
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
 
IssuerSignatureName of SignerTitleDate
HEAT BIOLOGICS, INC.Elizabeth ExumElizabeth ExumSecretary2013-04-09