Initial Statement of Beneficial Ownership (3)
October 12 2021 - 04:30PM
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
Estimated average burden
hours per response... 0.5 |
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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] |
(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)
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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)
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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 |
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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
|
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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