SEC Form 4 · accession 0001654954-18-011096
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
Oct 10, 2018
Accepted (ET)
Oct 12, 2018 · 7:07 pm EDT
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 | Oct 10, 2018 | M | 83,375 | $0.86 | A | 153,942 | D | |
| Common StockF1 | Oct 10, 2018 | F | 69,614 | $1.03 | D | 84,328 | 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 | $0.86 | Oct 10, 2018 | M | 83,375 | D | — | Dec 17, 2020 | Common Stock | 83,375 | 41,625 | D |
Explanation of responses
- F1Represents the aggregate amount of shares of Common Stock withheld for a cashless exercise
- F2The options vest as follows: 33.3% on December 17, 2016, 66.7% on December 17, 2017 and 100% on December 17, 2018.