SEC Form 4 · accession 0001127602-17-002309
PDS Biotechnology Corp · PDSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R. Loch Macdonald
Officer — Chief Scientific Officer · Director
Period of report
Jan 23, 2017
Accepted (ET)
Jan 25, 2017 · 9:35 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001472091
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 23, 2017 | M | 25,000 | $2.04 | A | 595,602 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right To Purchase)F1 | $2.04 | Jan 23, 2017 | M | 25,000 | D | — | Oct 11, 2023 | Common Stock | 25,000 | 75,504 | D |
Explanation of responses
- F1This option, representing a right to purchase a total of 100,504 shares of Common Stock, became exercisable on June 1, 2014, with 25% vesting on that date and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date.