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PDSB PDS Biotechnology Corporation

3.27
0.01 (0.31%)
26 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
PDS Biotechnology Corporation NASDAQ:PDSB NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.01 0.31% 3.27 3.30 3.37 3.38 3.20 3.24 415,645 23:27:47

Statement of Changes in Beneficial Ownership (4)

18/06/2021 12:15am

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Glover Steve C
2. Issuer Name and Ticker or Trading Symbol

PDS Biotechnology Corp [ PDSB ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O PDS BIOTECHNOLOGY CORPORATION, 25B VREELAND ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

6/15/2021
(Street)

FLORHAM PARK, NJ 07932
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 6/15/2021  P(1)  5882 A$8.5 63790 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) $9.95 6/17/2021  A   9000     (2)6/17/2031 Common Stock 9000 $0 9000 D  

Explanation of Responses:
(1) Represents shares of common stock purchased by the Reporting Person at the public offering price in connection with the Issuer's firm commitment underwritten public offering of common stock, which closed on June 17, 2021, and such shares of common stock are subject to a lock up agreement between the Reporting Person and Cantor Fitzgerald & Co., pursuant to which the shares cannot be sold for 90 days following June 15, 2021.
(2) The Stock Option will vest in full and become fully exercisable on June 17, 2022.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Glover Steve C
C/O PDS BIOTECHNOLOGY CORPORATION
25B VREELAND ROAD
FLORHAM PARK, NJ 07932
X



Signatures
/s/ Hillary Yegen, attorney-in-fact6/17/2021
**Signature of Reporting PersonDate

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