Oncotelic (OTLC) CEO earns Series A preferred stock for milestones

Rhea-AI Filing Summary

Oncotelic Therapeutics Chairman and CEO Vuong Trieu reported an award of 4,426 shares of Series A Convertible Preferred Stock on January 22, 2026. The preferred stock is convertible at the holder’s option into 4,426,000 shares of common stock on a one-for-one thousand basis and was issued at a stated price of $0.00 per share as compensation for achieving performance milestones under a Restricted Stock Agreement dated January 21, 2026. Following this grant, Dr. Trieu beneficially owns 8,491 shares of the Series A Convertible Preferred Stock directly.

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

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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^*

Trieu Vuong

(Last) (First) (Middle)

29397 AGOURA RD SUITE 107

(Street)

AGOURA HILLS CA 91301

(City) (State) (Zip)

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

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

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	CHAIRMAN AND CEO

3. Date of Earliest Transaction (Month/Day/Year)
01/22/2026

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

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

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

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
Series A Convertible Preferred Stock	(1)	01/22/2026		A		4,426		(1)	(1)	Common Stock	4,426,000	$0.00(2)	8,491	D

Explanation of Responses:

1. Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis.

2. The shares of Series A Convertible Preferred Stock were issued to Dr. Trieu as compensation pursuant to the accomplishment of performance milestones under a Restricted Stock Agreement dated January 21, 2026.

	/s/ Vuong Trieu	01/26/2026
	** 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.
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FAQ

What insider transaction did Oncotelic Therapeutics (OTLC) report?

Oncotelic Therapeutics reported that Vuong Trieu, its Chairman, CEO, director, and 10% owner, received 4,426 shares of Series A Convertible Preferred Stock on January 22, 2026.

How many common shares can the new preferred stock convert into for OTLC?

The 4,426 Series A Convertible Preferred shares are convertible at any time into 4,426,000 shares of common stock on a one-for-one thousand basis at the holder’s option.

What was the price of the Series A Convertible Preferred Stock granted to Vuong Trieu?

The 4,426 shares of Series A Convertible Preferred Stock were reported at a transaction price of $0.00 per share in this Form 4.

Why was the Series A Convertible Preferred Stock issued to the OTLC CEO?

The preferred shares were issued to Dr. Vuong Trieu as compensation for the accomplishment of performance milestones under a Restricted Stock Agreement dated January 21, 2026.

How many Series A Convertible Preferred shares does the OTLC CEO own after this transaction?

After the reported grant, Vuong Trieu beneficially owns 8,491 shares of Series A Convertible Preferred Stock, held directly.

What roles does Vuong Trieu hold at Oncotelic Therapeutics (OTLC)?

Vuong Trieu is reported as a director, Chairman and CEO, and a 10% owner of Oncotelic Therapeutics, Inc.