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* Tontat Tony (Last) (First) (Middle) 7707 FANNIN, SUITE 140 (Street) HOUSTON TX 77054 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 10/15/2020	3. Issuer Name and Ticker or Trading Symbol Kiromic Biopharma, Inc. [ KRBP ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner X Officer (give title below) Other (specify below) CFO	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	402,000	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 Options	(1)	11/09/2027	Common Stock	8,587	6.64	D
Stock Options	(2)	03/13/2028	Common Stock	57,241	11.88	D
Restricted Stock Units	(3)	08/20/2030	Common Stock	21,112	0	D
Restricted Stock Units	(4)	08/20/2030	Common Stock	186,135	0	D

Explanation of Responses:

1. Fully vested.

2. 25% of stock options vested on the one year anniversary of the vesting start date (December 15, 2018), 25% of stock options vested on December 15, 2019, 25% of the stock options will vest on December 15, 2020 and 25% of the stock options will vest on December 15, 2021.

3. 25% of the Restricted Stock Units vest at the end of each of four consecutive calendar quarters, beginning on June 30, 2020. Notwithstanding anything to the contrary contained in in the RSU Agreement, to the extent that the Grantee is subject to a lock up or similar agreement at the time of the vesting of any RSUs granted, then the vesting date of such RSUs shall be deferred until such time as such lock up or similar agreement has expired.

4. The Restricted Stock Units vest upon achievement of certain corporate milestones which were approved by the Company's Board of Directors on August 20, 2020. Notwithstanding anything to the contrary contained in in the RSU Agreement, to the extent that the Grantee is subject to a lock up or similar agreement at the time of the vesting of any RSUs granted, then the vesting date of such RSUs shall be deferred until such time as such lock up or similar agreement has expired.

	/s/ Tony Tontat	10/16/2020
	** 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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