# EDGAR Filing Document

**Accession Number:** 0000908259
**File Stem:** 0001493152-26-000821
**Filing Date:** 2026-1
**Character Count:** 10112
**Document Hash:** dda5b4ea9b5e9121400486bfb375b9e0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-26-000821.hdr.sgml**: 20260107

**ACCESSION NUMBER**: 0001493152-26-000821

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20260102

**ITEM INFORMATION**: Entry into a Material Definitive Agreement

**ITEM INFORMATION**: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

**ITEM INFORMATION**: Unregistered Sales of Equity Securities

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20260107

**DATE AS OF CHANGE**: 20260107

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Oncotelic Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0000908259
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 133679168
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-21990
- **FILM NUMBER:** 26516046

**BUSINESS ADDRESS:**
- **STREET 1:** 29397 AGOURA RD.
- **STREET 2:** #107
- **CITY:** AGUORA HILLS
- **STATE:** CA
- **ZIP:** 91301
- **BUSINESS PHONE:** 650-635-7000

**MAIL ADDRESS:**
- **STREET 1:** 29397 AGOURA RD.
- **STREET 2:** #107
- **CITY:** AGUORA HILLS
- **STATE:** CA
- **ZIP:** 91301

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MATEON THERAPEUTICS INC
- **DATE OF NAME CHANGE:** 20160613

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** OXIGENE INC
- **DATE OF NAME CHANGE:** 19930628

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**Current Report**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported)**

**January 2, 2026**

**ONCOTELIC THERAPEUTICS, INC.**

**(Exact name of registrant as specified in its charter)**

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| | | |
|:---|:---|:---|
| **Delaware** | **000-21990** | **13-3679168** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification No.)** |

---

**29397 Agoura Road, Suite 107**

**Agoura Hills, CA 91301**

**(Address of principal executive offices and Zip Code)**

**Registrant's telephone number, including area code**

**(650) 635-7000**

**Not applicable.**

**(Former name or former address, if changed since last report.)**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (<u>see</u> General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

<u>Title of class</u> <u>Trading Symbols</u> <u>Name of each exchange on which registered</u> <br> N/A OTLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 1.01** | **Entry into a Material Definitive Agreement.** |

---

On January 6, 2026, Oncotelic Therapeutics, Inc. (the "Company" or "Our") announced entering into an amendment to an independent contractor agreements with Jefferson Capital Ventures, LLC ("Jefferson") dated August 6, 2025, for modifying the threshold of the first milestone contained within the ICA. The ICA called for Jefferson to earn certain restricted stock awards of shares of common stock of the Company, par value $0.01 ("Common Stock") upon the achievement certain corporate milestones.

In this connection and on January 2, 2026, the Company entered into an amendment to a restricted stock award ("RSA") dated November 17, 2025, between the Company and Dr. Vuong Trieu, the CEO of the Company. Similar to the ICA, the RSA called for Dr. Trieu to earn certain restricted preferred stock awards ("Preferred RSAs") of shares of preferred stock of the Company, par value $0.01 ("Preferred Stock") upon the achievement certain corporate milestones. The amendment seeks the modification of the threshold of the first milestone, contained in the RSA, when the Company's market capitalization exceeded $100 million on any single trading day's close to $45 million on any single trading day's close. Consistent with the amendment to the ICA, the amendment to the RSA seeks to enable the Company to be able to continue to build on its progress to date including making effective it's equity line with Mast Hills, engagement of AGP for future financing, and engaging Sichenzia, Ross and Ferrell for uplisting the Corporation's stock to a nationally recognized stock exchange and to achieve its corporate goals contained within the said RSA. None of the other terms and/or conditions of the milestone under the RSA have been amended.

The foregoing description of the amendments to the ICA and RSA is qualified in its entirety by reference to the full text of the form of such amendment, a copy of which is attached as Exhibit 10.1, with our Current Report on Form 8-K, and each of which is incorporated herein in its entirety by reference.

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| | |
|:---|:---|
| **Item 2.03** | **Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant** |

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See Item 1.01, above.

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| | |
|:---|:---|
| **Item 3.02** | **Unregistered Sale of Equity Securities.** |

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See Item 1.01, above.

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| | |
|:---|:---|
| **Item 9.01** | **Financial Statements and Exhibits.** |

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(d) Exhibits.

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| | | |
|:---|:---|:---|
| **Exhibit No.** | **Description** | **Incorporation by reference** |
| 10.1 | [Amendment 1 to Restricted Stock Agreement](ex10-1.htm) | Filed herewith |
| 10.2 | [Restricted Stock Grant – Vuong Trieu](https://www.sec.gov/Archives/edgar/data/908259/000149315225023834/ex10-8.htm) | Exhibit 10.8 filed on Form 10-Q on 11/17/2025 |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |  |

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**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | Oncotelic Therapeutics, Inc. | Oncotelic Therapeutics, Inc. |
| Date: January 7, 2026 |  | */s/ Vuong Trieu* |
|  | By: | Vuong Trieu |
|  |  | Chief Executive Officer |

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## Exhibit 10.1

**Exhibit 10.1**

**FIRST AMENDMENT TO RESTRICTED STOCK AGREEMENT**

This First Amendment to the Restricted Stock Agreement (this "Amendment") is made and entered into and executed as of January 2, 2026 (the "Execution Date"), by and between Oncotelic Therapeutics, Inc., a Delaware Corporation (the "Company"), and Dr. Vuong Trieu, CEO of the Company (the "Holder"), collectively referred to herein as the "Parties" or individually as a "Party."

RECITALS

WHEREAS, the Company and the Holder are Parties to that certain Restricted Stock Agreement, dated as of November 17, 2025 (the "Original Agreement"); and

WHEREAS, the Parties desire to amend the Original Agreement solely to modify Milestone One (1) set forth on Exhibit A thereto, while leaving all other terms and conditions unchanged.

NOW, THEREFORE, in consideration of the mutual agreements contained herein and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree to the following:

1. Amendment to Milestone One (1)

Effective as of the effective date of the Original Agreement, Milestone One (1) as set forth on Exhibit A of the Original Agreement is hereby amended to provide that the applicable milestone threshold shall be Forty-Five Million Dollars ($45,000,000) instead of One Hundred Million Dollars ($100,000,000).

Except as expressly modified by this Section 1, all other aspects, definitions, calculations, vesting mechanics, and consequences associated with Milestone One (1) shall remain unchanged and in full force and effect.

2. No Other Amendments

Except as expressly set forth in this Amendment, all terms, covenants, representations, warranties, obligations, and provisions of the Original Agreement (including all exhibits and related agreements) remain unchanged, ratified, and in full force and effect.

3. Effect of Amendment

This Amendment shall be deemed part of, and read together with, the Original Agreement. In the event of any conflict between this Amendment and the Original Agreement, this Amendment shall control solely with respect to Milestone One (1).

4. Counterparts; Electronic Signatures

This Amendment may be executed in counterparts, each of which shall be deemed an original, and all of which together shall constitute one and the same instrument. Execution by electronic signature shall be deemed effective for all purposes.

**FIRST AMENDMENT TO RESTRICTED STOCK AGREEMENT**

**IN WITNESS WHEREOF, the Parties have executed this Amendment as of the Execution Date set forth above.**

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| | |
|:---|:---|
| **ONCOTELIC THERAPEUTICS, INC.** | **ONCOTELIC THERAPEUTICS, INC.** |
| By: | */s/Amit Shah* |
| Name: | Amit Shah |
| Title: | Chief Financial Officer |
| **DR. VUONG TRIEU** | **DR. VUONG TRIEU** |
| By: | */s/Vuong Trieu* |
| Name: | Vuong Trieu. Ph. D. |

---