SEC Form 4 · accession 0001140361-15-037190

PDS Biotechnology Corp · PDSB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Oct 6, 2015

Accepted (ET)

Oct 8, 2015 · 4:18 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^F1	Oct 6, 2015	C	160,810	—	A	160,810	D
Common Stock^F1	Oct 6, 2015	C	163,731	—	A	324,541	D
Common Stock^F1,F2	Oct 6, 2015	C	29,238	—	A	29,238	I	By Trust
Common Stock^F1,F3	Oct 6, 2015	C	14,619	—	A	14,619	I	By Trust
Common Stock^F1,F4	Oct 6, 2015	C	14,619	—	A	14,619	I	By Trust
Common Stock^F1,F5	Oct 6, 2015	C	789,420	—	A	789,420	I	By Oakwood Capital, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Convertible Preferred Stock^F1	—	Oct 6, 2015	C	220,000	D	—	—	Common Stock	160,810	D
Series B Convertible Preferred Stock^F1	—	Oct 6, 2015	C	224,000	D	—	—	Common Stock	163,731	D
Series B Convertible Preferred Stock^F2,F1	—	Oct 6, 2015	C	40,000	D	—	—	Common Stock	29,238	I
Series B Convertible Preferred Stock^F3,F1	—	Oct 6, 2015	C	20,000	D	—	—	Common Stock	14,619	I
Series B Convertible Preferred Stock^F4,F1	—	Oct 6, 2015	C	20,000	D	—	—	Common Stock	14,619	I
Series B Convertible Preferred Stock^F4,F5,F1	—	Oct 6, 2015	C	1,080,000	D	—	—	Common Stock	789,420	I

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.
F2Held directly by the Austin Conti Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F3Held directly by the Brooke Conti Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F4Held directly by the Hunter Conti Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
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.