SEC Form 4 · accession 0001127602-17-023418
PDS Biotechnology Corp · PDSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sol J Barer
Director
Period of report
Jul 7, 2017
Accepted (ET)
Jul 10, 2017 · 3:51 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 StockF1 | Jul 7, 2017 | X | 12,530 | $2.39 | A | 658,075 | I | By Spouse |
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)F2 | $2.39 | Jul 7, 2017 | X | 12,530 | D | Oct 23, 2012 | Oct 23, 2017 | Common Stock | 12,530 | 0 | I |
Explanation of responses
- F1These shares are held by Meryl Barer, the wife of the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F2These shares are held by Meryl Barer, the wife of the Reporting Person. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.