Oncotelic Therapeutics grants 250 RSUs to CRO/CMO

Fein Seymour Howard reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Fein Seymour Howard reported acquisition or exercise transactions in this Form 4 filing.

Oncotelic Therapeutics, Inc. granted its CRO/CMO, Seymour Howard Fein, 250 restricted stock units on July 10, 2026. Each RSU will settle into one share of Series A Convertible Preferred Stock, and each preferred share is convertible into 1,000 common shares, contingent on performance and time-based vesting. Vesting requires an uplisting of the common stock to a national securities exchange by June 30, 2027 (or a later Board-approved date) and six months of continued service after the uplisting.

Insider Trade Summary

Grant/Award: 250 shares

Grant/Award 1 txn

Insider Fein Seymour Howard

Role CRO/CMO

Type	Security	Shares	Price	Value
Grant/Award	Restricted stock Units F1, F2	250	$0.00	$0.00

Holdings After Transaction: Restricted stock Units — 250 contracts (Direct)

Footnotes (2)

1. F1. On July 10, 2026, the reporting person was granted 250 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.
2. F2. The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

Key Figures

RSUs granted: 250 units Preferred-to-common conversion ratio: 1,000 shares of common stock per preferred share Potential common shares: 250,000 shares of common stock +2 more

5 metrics

RSUs granted 250 units Restricted stock units granted to CRO/CMO Seymour Howard Fein on July 10, 2026

Preferred-to-common conversion ratio 1,000 shares of common stock per preferred share Each share of Series A Convertible Preferred Stock is convertible into 1,000 common shares

Potential common shares 250,000 shares of common stock Maximum common shares if 250 RSUs vest and resulting preferred shares are fully converted

Uplisting deadline for vesting June 30, 2027 Uplisting to a national securities exchange must occur by this date, unless the Board extends it

Par value of preferred stock $0.01 per share Par value of the issuer's Series A Convertible Preferred Stock underlying the RSUs

Key Terms

restricted stock units, Series A Convertible Preferred Stock, performance and time-based vesting, uplisting, +1 more

5 terms

restricted stock units financial

"the reporting person was granted 250 restricted stock units ("RSUs"), subject"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Series A Convertible Preferred Stock financial

"one share of the issuer's Series A Convertible Preferred Stock, par value $0.01"

Series A convertible preferred stock is a class of shares sold in an early funding round that gives investors a mix of protection and upside: it pays a priority claim over common shares if the company is sold or closes, but can be converted into ordinary shares to share in future growth. Think of it like a hybrid between a safer stake and a ticket to ownership; it matters to investors because it affects who controls the company, how future gains are split, and how much their investment is protected from downside.

performance and time-based vesting financial

"250 restricted stock units ("RSUs"), subject to performance and time-based vesting."

uplisting market

"The RSU's will vest upon (a) achievement of an uplisting of the issuer's"

Uplisting occurs when a company's stock moves from a less regulated, smaller exchange to a more established and widely recognized one. This transition can make the stock more accessible and attractive to a broader range of investors, potentially increasing its value and trading volume. For investors, uplisting often signals growth and stability, which can influence confidence and trading decisions.

national securities exchange regulatory

"uplisting of the issuer's common stock to a national securities exchange on or"

A national securities exchange is a regulated marketplace where buyers and sellers trade stocks, bonds and other securities and where companies meet requirements to have their shares available to the public. It matters to investors because the exchange enforces rules, provides transparent prices and a steady flow of buyers and sellers—like a supervised marketplace that helps ensure fair pricing, easier buying and selling, and basic investor protections.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Oncotelic Therapeutics (OTLC) grant to Seymour Howard Fein?

On July 10, 2026, Oncotelic Therapeutics granted its CRO/CMO, Seymour Howard Fein, 250 restricted stock units (RSUs). Each RSU entitles him, upon vesting, to one share of Series A Convertible Preferred Stock, which is further convertible into common shares.

What are the vesting conditions for the 250 RSUs at Oncotelic Therapeutics (OTLC)?

The 250 RSUs vest only if the company’s common stock is uplisted to a national securities exchange by June 30, 2027 (or a later Board-approved date) and Seymour Fein remains in service for six months after the uplisting.

How many common shares could the OTLC RSUs ultimately represent?

If all 250 RSUs vest and the resulting Series A Convertible Preferred Stock is fully converted, they could represent up to 250,000 common shares, based on a 1,000-to-1 conversion ratio from preferred to common stock.

What stock underlies the RSU award reported by Oncotelic Therapeutics (OTLC)?

Each RSU corresponds to one share of Series A Convertible Preferred Stock, par value $0.01 per share. Each preferred share is, in turn, convertible into 1,000 shares of the company’s common stock, also with a par value of $0.01 per share.

How is the uplisting event linked to the OTLC RSU vesting?

The RSUs vest only upon uplisting the company’s common stock to a national securities exchange by June 30, 2027 (or a later date the Board approves), followed by six months of continued service by Seymour Fein after that uplisting event.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 07/23/2026 - 04:00 PM Accepted by SEC EDGAR 07/23/2026 - 04:00 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Fein Seymour Howard

(Last) (First) (Middle)

29397 AGOURA RD SUITE 107

(Street)

AGOURA HILLS CALIFORNIA 91301

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Oncotelic Therapeutics, Inc. [ OTLC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CRO/CMO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/10/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted stock Units(1)	$0.00	07/10/2026	07/10/2026	A		250		(2)	(2)	Series A Preferred Stock	250	$0.00	250	D

Explanation of Responses:

1. On July 10, 2026, the reporting person was granted 250 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.

2. The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

	/s/ Seymour Fein	07/23/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)