Initial Statement of Beneficial Ownership (3)
October 12 2021 - 4:30PM
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
*
Trochimiuk Janetta |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/30/2021
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3. Issuer Name and Ticker or Trading Symbol
PDS Biotechnology Corp [PDSB]
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(Last)
(First)
(Middle)
C/O PDS BIOTECHNOLOGY CORPORATION, 25B FREELAND ROAD, SUITE 300 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Principal Accounting Officer / |
(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
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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) |
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) | (1) | 12/9/2029 | Common Stock | 10000 | $2.88 | D | |
Stock Option (Right to Buy) | (2) | 6/23/2030 | Common Stock | 5000 | $1.45 | D | |
Stock Option (Right to Buy) | (3) | 12/8/2030 | Common Stock | 27750 | $2.43 | D | |
Explanation of Responses: |
(1) | The option was granted on December 9, 2019, with 25% vesting on December 9, 2020 and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date. |
(2) | The option was granted on June 23, 2020, with 25% vesting on June 23, 2020 and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date. |
(3) | The option was granted on December 8, 2020, with 25% vesting on December 8, 2021 and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Trochimiuk Janetta C/O PDS BIOTECHNOLOGY CORPORATION 25B FREELAND ROAD, SUITE 300 FLORHAM PARK, NJ 07932 |
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| Principal Accounting Officer |
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Signatures
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/s/ Janetta Trochimiuk | | 10/12/2021 |
**Signature of Reporting Person | Date |
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