Bloomquist DeLyle W 4
4 · PDS Biotechnology Corp · Filed Jun 21, 2021
Insider Transaction Report
Form 4
Bloomquist DeLyle W
Director10% Owner
Transactions
- Purchase
Common Stock
2021-06-16$9.88/sh+10,000$98,778→ 193,888 total - Exercise/Conversion
Stock Option (Right to Buy)
2021-06-16−2,970→ 6,030 totalExercise: $5.99Exp: 2029-06-28→ Common Stock (2,970 underlying) - Exercise/Conversion
Common Stock
2021-06-16$5.99/sh+2,970$17,790→ 183,888 total
Holdings
- 605,023(indirect: See Footnote)
Common Stock
Footnotes (4)
- [F1]The shares reported on this Form 4 are subject to a lock-up agreement between Mr. Bloomquist and Cantor Fitzgerald & Co. in connection with a public offering of common shares by the Issuer which closed on June 17, 2021.
- [F2]Represents shares of Common Stock of the Issuer that Mr. Bloomquist purchased in the open market. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $9.85 to $9.90, inclusive.
- [F3]Mr. Bloomquist owns 80% of and is the manager of Asklepios Capital LLC and has voting and dispositive power with respect to these shares.
- [F4]One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 28, 2022, subject in all respects to the option agreement governing the stock option grant.