Initial Statement of Beneficial Ownership (3)
July 06 2020 - 5:19PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
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
*
King Michael N. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/23/2020
|
3. Issuer Name and Ticker or Trading Symbol
PDS Biotechnology Corp [PDSB]
|
|
(Last)
(First)
(Middle)
C/O PDS BIOTECHNOLOGY CORPORATION, 25B VREELAND ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Interim Chief Financial Office / |
|
(Street)
FLORHAM PARK, NJ 07932
(City)
(State)
(Zip)
| 5. 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 Beneficially Owned
|
1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (Right to Buy) | 3/15/2019 (1) | 12/15/2024 | Common Stock | 52934 | $6.87 | D | |
| Employee Stock Option (Right to Buy) | 3/14/2019 (2) | 3/14/2029 | Common Stock | 44871 | $9.04 | D | |
| Explanation of Responses: |
| (1) | On December 15, 2014, the date of grant, the option was subject to the following vesting schedule: 16,227 options vested on the date of grant and on each monthly anniversary of the date of grant, 1/24 of the options vested. On March 15, 2019, in connection with the merger between the Issuer and private PDS Biotechnology Corporation, the option was accelerated and the shares underlying the option became fully vested and immediately exercisable. |
| (2) | The option was fully vested and immediately exercisable on the date of grant. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
King Michael N.
C/O PDS BIOTECHNOLOGY CORPORATION
25B VREELAND ROAD
FLORHAM PARK, NJ 07932 |
|
| Interim Chief Financial Office |
|
Signatures
|
| /s/ Michael N. King | | 7/6/2020 |
| **Signature of Reporting Person | Date |
PDS Biotechnology (NASDAQ:PDSB)
Historical Stock Chart
From Mar 2024 to Apr 2024
PDS Biotechnology (NASDAQ:PDSB)
Historical Stock Chart
From Apr 2023 to Apr 2024
