Filing Details

Accession Number:
0001493152-16-007072
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-02-01 18:01:36
Reporting Period:
2016-01-29
Filing Date:
2016-02-01
Accepted Time:
2016-02-01 18:01:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1100397 Advaxis Inc. ADXS Pharmaceutical Preparations (2834) 841521955
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1576077 Robert Petit 305 College Road East
Princeton, NJ 08540
Chief Scientific Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-01-29 322 $6.82 133,806 No 4 A Direct
Common Stock Disposition 2016-01-29 150 $6.82 133,656 No 4 F Direct
Common Stock Disposition 2016-01-29 3,099 $6.88 130,557 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 S Direct
Footnotes
  1. The reporting person voluntarily purchases restricted stock directly from the Company at market price on the last trading day of the month.
  2. Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance.
  3. In connection with the vesting of 6,667 shares on January 31, 2016, a total of 3,099 of such shares were withheld by the Company in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies.
  4. Reflects the weighted average sale price. The range of prices for such transaction is $6.77 to $6.99. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.