Navidea Biopharmaceuticals (NAVB) Form 3 NAVIDEA BIOPHARMACEUTICALS / Joel H. Kaufman ownership change

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Kaufman Joel H.

(Last) (First) (Middle)

4995 BRADENTON AVE., SUITE 240

(Street)

DUBLIN OH 43017

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/04/2020

3. Issuer Name and Ticker or Trading Symbol
NAVIDEA BIOPHARMACEUTICALS, INC. [ NAVB ]

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

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Business Officer

5. 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 Beneficially Owned
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	24,645	D
Common Stock(2)	5,723	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: 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	(1)	10/27/2027	Common Stock	15,000	9.4	D
Stock Option	(1)	02/20/2028	Common Stock	1,200	7.2	D
Stock Option	(1)	02/07/2029	Common Stock	2,400	3	D
Stock Option	(1)	02/06/2030	Common Stock	6,000	1.06	D

Explanation of Responses:

1. Stock options granted pursuant to Issuer's Amended and Restated 2014 Stock Incentive Plan, which vest as to one-third (1/3) on each of the first three anniversaries of the date of grant.

2. Held in the Company's 401(k) Plan on behalf of the Officer.

	/s/ Jed A. Latkin for Joel H. Kaufman, by power of attorney	11/06/2020
	** 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 5 (b)(v).
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