SEC Form 4 · accession 0001127602-17-011377
PDS Biotechnology Corp · PDSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew J. Einhorn
Officer — Chief Financial Officer
Period of report
Mar 1, 2017
Accepted (ET)
Mar 13, 2017 · 1:47 pm EDT
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 | Mar 1, 2017 | X | 1,567 | $2.39 | A | 43,223 | D | |
| Common StockF1 | holding | — | — | — | 83,592 | I | By Harpua, Llc |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right To Purchase) | $2.39 | Mar 1, 2017 | X | 1,567 | D | Sep 9, 2012 | Sep 9, 2017 | Common Stock | 1,567 | 0 | D |
Explanation of responses
- F1The Reporting Person is the sole managing member of Harpua, LLC and may be deemed to beneficially own these shares. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.