Initial Statement of Beneficial Ownership (3)
August 31 2021 - 06:25PM
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
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 * Waggoner Kenneth
L. |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
8/10/2021
|
3. Issuer Name and Ticker or Trading
Symbol PharmaCyte Biotech, Inc. [PMCB] |
(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 |
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) |
Common Stock |
20600 (1) |
D |
|
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 |
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
|
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 |
|
Signatures
|
/s/ Kenneth L. Waggoner |
|
8/31/2021 |
**Signature of
Reporting Person |
Date |
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