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PDSB PDS Biotechnology Corporation

3.27
0.01 (0.31%)
27 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 8.00 3.38 3.20 3.24 415,645 05:00:00

Statement of Changes in Beneficial Ownership (4)

18/06/2021 12:26am

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 *

BEDU-ADDO FRANK
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
__X__ Officer (give title below)    _____ Other (specify below)
President/CEO
(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  M(1)  53174 A$6.57 673681 D  
Common Stock 6/15/2021  F(1)  27166 D$12.86 646515 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) $6.57 6/15/2021  M     53174   (2)7/27/2021 Common Stock 53174 $0 0 D  

Explanation of Responses:
(1) On June 15, 2021, Mr. Bedu-Addo made a net exercise of 53,174 stock options, resulting in his acquisition of 26,008 common shares of the Issuer. The transaction was made pursuant to an exception to a lock-up agreement between Mr. Bedu Addo and Cantor Fitzgerald & Co.in connection with a public offering of common shares by the Issuer which closed on June 17, 2021.
(2) The Stock Option is fully vested in accordance with its terms.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
BEDU-ADDO FRANK
C/O PDS BIOTECHNOLOGY CORPORATION
25B VREELAND ROAD
FLORHAM PARK, NJ 07932
X
President/CEO

Signatures
/s/ Frank Bedu-Addo6/17/2021
**Signature of Reporting PersonDate

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