SEC Form 4 · accession 0001354488-16-008708
Pharma-Bio Serv, Inc. · PBSV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pedro J Lasanta
Officer — Chief Financial Officer
Period of report
Dec 19, 2016
Accepted (ET)
Dec 21, 2016 · 4:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001304161
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 19, 2016 | M | 200,000 | $0.72 | A | 222,146 | D | |
| Common StockF1 | Dec 19, 2016 | F | 151,579 | $0.95 | D | 70,567 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $0.72 | Dec 19, 2016 | M | 200,000 | D | — | Jan 30, 2017 | Common Stock | 200,000 | 0 | D |
Explanation of responses
- F1Represents the aggregate amount of shares of Common Stock withheld for a cashless exercise and to pay the applicable tax obligations.
- F2The options vested as follows: 33.3% on January 30, 2013, 66.7% on January 30, 2014 and 100% on January 30, 2015.