SEC Form 4 · accession 0001127602-18-013142
PDS Biotechnology Corp · PDSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt G Conti
Director
Period of report
Mar 23, 2018
Accepted (ET)
Mar 30, 2018 · 7:19 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 StockF2,F3,F4 | Mar 23, 2018 | J | 58,476 | $0.00 | D | 0 | I | By Trust |
| Common Stock | holding | — | — | — | 324,541 | D | ||
| Common StockF5 | holding | — | — | — | 789,420 | I | By Oakwood Capital, Llc |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 23, 2018 three Trusts were dissolved and share ownership of 58,476 shares of common stock for which the Reporting Person had previously disclaimed beneficial ownership of transferred to the Reporting Person's three adult children who do not live in the same household as Reporting Person.
- F2On March 23, 2018 the Austin Conti Trust was dissolved and share ownership of 29,238 shares of common stock for which the Reporting Person had previously disclaimed beneficial ownership of transferred to sole ownership of Austin Conti, the Reporting Person's adult child who does not live in the same household as Reporting Person.
- F3On March 23, 2018 the Brooke Conti Trust was dissolved and share ownership of 14,619 shares of common stock for which the Reporting Person had previously disclaimed beneficial ownership of transferred to sole ownership of Brooke Conti, the Reporting Person's adult child who does not live in the same household as Reporting Person.
- F4On March 23, 2018 the Hunter Conti Trust was dissolved and share ownership of 14,619 shares of common stock for which the Reporting Person had previously disclaimed beneficial ownership of transferred to sole ownership of Hunter Conti, the Reporting Person's adult child who does not live in the same household as Reporting Person.
- F5The Reporting Person has sole voting and dispositive power over the shares held by Oakwood Capital, 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.