PDS Biotechnology Corp — Director's Dealing 2015

Oct 8, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Edge Therapeutics, Inc. (EDGE)
CIK: 0001472091
Period of Report: 2015-10-06

Reporting Person: Einhorn Andrew J. (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-10-06	Common Stock	C	10443	—	Acquired	10443	Direct
2015-10-06	Common Stock	C	4747	—	Acquired	15190	Direct
2015-10-06	Common Stock	C	24089	—	Acquired	39279	Direct
2015-10-06	Common Stock	J	2377	$6.79	Acquired	41656	Direct
2015-10-06	Common Stock	C	15720	—	Acquired	15720	Indirect
2015-10-06	Common Stock	C	21221	—	Acquired	36941	Indirect
2015-10-06	Common Stock	P	45000	$11	Acquired	81941	Indirect
2015-10-06	Common Stock	J	1651	$7.75	Acquired	83592	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-10-06	Series B-1 Convertible Preferred Stock	$	C	14286	Disposed		Common Stock (10443)	Direct
2015-10-06	Series C Convertible Preferred Stock	$	C	6494	Disposed		Common Stock (4747)	Direct
2015-10-06	Series C-1 Convertible Preferred Stock	$	C	32956	Disposed		Common Stock (24089)	Direct
2015-10-06	Series C-1 Convertible Preferred Stock	$	C	21506	Disposed		Common Stock (15720)	Indirect
2015-10-06	Series C-2 Convertible Preferred Stock	$	C	29032	Disposed		Common Stock (21221)	Indirect

Footnotes

F1: The convertible preferred stock converted into the Issuer's common stock at a conversion ratio, as adjusted to give effect to the Issuer's 1-for-1.3681 reverse stock split effected on September 21, 2015, of one share of common stock for every 1.3681 shares of preferred stock immediately prior to the closing of the Issuer's initial public offering of common stock, and had no expiration date.

F2: The Reporting Person is the sole managing member of Harpua, LLC and may be deemed to beneficially own these shares. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F3: The Reporting Person received a total of 2,377 shares of the Issuer's common stock which represented a payment-in-kind dividend on 39,450 shares of the Issuer's convertible preferred stock owned at the time of the dividend payment date.

F4: Harpua, LLC received a total of 1,651 shares of the Issuer's common stock which represented a payment-in-kind dividend on 50,538 shares of the Issuer's convertible preferred stock owned at the time of the dividend payment date. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.