Initial Statement of Beneficial Ownership (3)
August 31 2021 - 6:25PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Waggoner Kenneth L. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/10/2021
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3. Issuer Name and Ticker or Trading Symbol
PharmaCyte Biotech, Inc. [PMCB]
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(Last)
(First)
(Middle)
23046 AVENIDA DE LA CARLOTA, SUITE 600 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chairman, CEO, Pres and GC / |
(Street)
LAGUNA HILLS, CA 92653
(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
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Table I - Non-Derivative Securities Beneficially Owned
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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) |
Common Stock | 20600 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Stock Option (right to buy) | 3/9/2017 | 3/9/2022 | Common Stock | 3000 (1) | $156.00 (2) | D | |
Stock Option (right to buy) | 1/1/2018 | 1/1/2023 | Common Stock | 3000 (1) | $83.70 (2) | D | |
Stock Option (right to buy) | 3/20/2019 | 3/20/2024 | Common Stock | 3000 (1) | $74.25 (2) | D | |
Stock Option (right to buy) | 1/2/2020 | 1/1/2025 | Common Stock | 3000 (1) | $61.20 (2) | D | |
Stock Option (right to buy) | 1/1/2021 (3) | 12/31/2025 | Common Stock | 3000 (1) | $10.05 (2) | D | |
Explanation of Responses: |
(1) | The number of shares has been adjusted to reflect a one-for-1,500 reverse stock split of the Issuer's common stock effected on July 12, 2021 (the "Reverse Split"). |
(2) | The exercise price has been adjusted to reflect the Reverse Split. |
(3) | The option vested in twelve equal monthly installments beginning on January 1, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Waggoner Kenneth L. 23046 AVENIDA DE LA CARLOTA SUITE 600 LAGUNA HILLS, CA 92653 | X |
| Chairman, CEO, Pres and GC |
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Signatures
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/s/ Kenneth L. Waggoner | | 8/31/2021 |
**Signature of Reporting Person | Date |
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