SEC Form 4 · accession 0001140361-15-037181
PDS Biotechnology Corp · PDSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Leuthner
Officer — Chief Executive Officer · Director
Period of report
Oct 6, 2015
Accepted (ET)
Oct 8, 2015 · 4:11 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 | Oct 6, 2015 | C | 2,672 | — | A | 550,878 | D | |
| Common Stock | Oct 6, 2015 | J | 80 | $8.60 | A | 550,958 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C-2 Convertible Preferred StockF1 | — | Oct 6, 2015 | C | 3,655 | D | — | — | Common Stock | 2,672 | 0 | D |
Explanation of responses
- F1The convertible preferred stock converted into the Issuer's common stock at a conversion ratio, as adjusted to give effect to the Issuer's 1-for-1.3681 reverse stock split effected on September 21, 2015, of one share of common stock for every 1.3681 shares of preferred stock immediately prior to the closing of the Issuer's initial public offering of common stock, and had no expiration date.
- F2The Reporting Person received a total of 80 shares of the Issuer's common stock which represented a payment-in-kind dividend on 3,655 shares of the Issuer's convertible preferred stock owned at the time of the dividend payment date.