<SEC-DOCUMENT>0001493152-20-014591.txt : 20200804
<SEC-HEADER>0001493152-20-014591.hdr.sgml : 20200804
<ACCEPTANCE-DATETIME>20200804160846
ACCESSION NUMBER:		0001493152-20-014591
CONFORMED SUBMISSION TYPE:	D
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		<ITEMS>06b
FILED AS OF DATE:		20200804
DATE AS OF CHANGE:		20200804
EFFECTIVENESS DATE:		20200804

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Hancock Jaffe Laboratories, Inc.
		CENTRAL INDEX KEY:			0001661053
		STANDARD INDUSTRIAL CLASSIFICATION:	SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
		IRS NUMBER:				330936180
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		D
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-372469
		FILM NUMBER:		201073368

	BUSINESS ADDRESS:	
		STREET 1:		70 DOPPLER
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92618
		BUSINESS PHONE:		949-261-2900

	MAIL ADDRESS:	
		STREET 1:		70 DOPPLER
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92618
</SEC-HEADER>
<DOCUMENT>
<TYPE>D
<SEQUENCE>1
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    <primaryIssuer>
        <cik>0001661053</cik>
        <entityName>Hancock Jaffe Laboratories, Inc.</entityName>
        <issuerAddress>
            <street1>70 DOPPLER</street1>
            <city>IRVINE</city>
            <stateOrCountry>CA</stateOrCountry>
            <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
            <zipCode>92618</zipCode>
        </issuerAddress>
        <issuerPhoneNumber>(949) 261-2900</issuerPhoneNumber>
        <jurisdictionOfInc>DELAWARE</jurisdictionOfInc>
        <issuerPreviousNameList>
            <value>None</value>
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        <edgarPreviousNameList>
            <value>None</value>
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        <entityType>Corporation</entityType>
        <yearOfInc>
            <overFiveYears>true</overFiveYears>
        </yearOfInc>
    </primaryIssuer>

    <relatedPersonsList>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Robert</firstName>
                <middleName>Andrew</middleName>
                <lastName>Berman</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>70 Doppler</street1>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>92618</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>CEO</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Craig</firstName>
                <lastName>Glynn</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>70 Doppler</street1>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>92618</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Interim CFO and Interim Treasurer</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Sanjay</firstName>
                <lastName>Shrivastava</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>70 Doppler</street1>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>92618</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Robert</firstName>
                <middleName>C.</middleName>
                <lastName>Gray</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>70 Doppler</street1>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>92618</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Francis</firstName>
                <lastName>Duhay</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>70 Doppler</street1>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>92618</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Matthew</firstName>
                <middleName>M.</middleName>
                <lastName>Jenusaitis</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>70 Doppler</street1>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>92618</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Mark</firstName>
                <middleName>H.</middleName>
                <lastName>Glickman</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>70 Doppler</street1>
                <city>Irvine</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>92618</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>CVO and CMO</relationshipClarification>
        </relatedPersonInfo>
    </relatedPersonsList>

    <offeringData>
        <industryGroup>
            <industryGroupType>Biotechnology</industryGroupType>
        </industryGroup>
        <issuerSize>
            <revenueRange>Decline to Disclose</revenueRange>
        </issuerSize>
        <federalExemptionsExclusions>
            <item>06b</item>
        </federalExemptionsExclusions>
        <typeOfFiling>
            <newOrAmendment>
                <isAmendment>false</isAmendment>
            </newOrAmendment>
            <dateOfFirstSale>
                <value>2020-07-21</value>
            </dateOfFirstSale>
        </typeOfFiling>
        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
        </durationOfOffering>
        <typesOfSecuritiesOffered>
            <isEquityType>true</isEquityType>
            <isOptionToAcquireType>true</isOptionToAcquireType>
            <isSecurityToBeAcquiredType>true</isSecurityToBeAcquiredType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>100000</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>Ladenburg Thalmann &amp; Co. Inc.,</recipientName>
                <recipientCRDNumber>505</recipientCRDNumber>
                <associatedBDName>None</associatedBDName>
                <associatedBDCRDNumber>None</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>999 VANDERBILT BEACH ROAD,</street1>
                    <street2>SUITE 200</street2>
                    <city>NAPLES,</city>
                    <stateOrCountry>FL</stateOrCountry>
                    <stateOrCountryDescription>FLORIDA</stateOrCountryDescription>
                    <zipCode>34108</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <value>All States</value>
                </statesOfSolicitationList>
                <foreignSolicitation>false</foreignSolicitation>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>1556000</totalOfferingAmount>
            <totalAmountSold>1556000</totalAmountSold>
            <totalRemaining>0</totalRemaining>
            <clarificationOfResponse>The Series C Convertible Preferred Stock and warrants were issued in a private placement that closed concurrently with an underwritten public offering, as disclosed on the issuer's Current Report on Form 8-K, filed with the SEC on July 21, 2020.</clarificationOfResponse>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
            <totalNumberAlreadyInvested>4</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>102820</dollarAmount>
            </salesCommissions>
            <findersFees>
                <dollarAmount>0</dollarAmount>
            </findersFees>
            <clarificationOfResponse>Placement agent fees.</clarificationOfResponse>
        </salesCommissionsFindersFees>
        <useOfProceeds>
            <grossProceedsUsed>
                <dollarAmount>0</dollarAmount>
            </grossProceedsUsed>
            <clarificationOfResponse></clarificationOfResponse>
        </useOfProceeds>
        <signatureBlock>
            <authorizedRepresentative>false</authorizedRepresentative>
            <signature>
                <issuerName>Hancock Jaffe Laboratories, Inc.</issuerName>
                <signatureName>/s/ Robert A. Berman</signatureName>
                <nameOfSigner>Robert A. Berman</nameOfSigner>
                <signatureTitle>Chief Executive Officer</signatureTitle>
                <signatureDate>2020-08-04</signatureDate>
            </signature>
        </signatureBlock>
    </offeringData>
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</SEC-DOCUMENT>
