SEC Form 4 · accession 0001144204-16-088278
PDS Biotechnology Corp · PDSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Healy
Director
Period of report
Mar 11, 2016
Accepted (ET)
Mar 15, 2016 · 5:57 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 | Mar 11, 2016 | P | 541,343 | $7.2997 | A | 2,852,711 | I | By Fund |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of 2,852,711 shares of common stock owned of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). The Reporting Person is a managing member of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. The Reporting Person disclaims beneficial ownership with regard to such shares, except to the extent of his proportionate pecuniary interest therein.