Filing Details

Accession Number:
0001493152-17-012496
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-06 18:00:24
Reporting Period:
2017-11-02
Accepted Time:
2017-11-06 18:00:24
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
1604019 Sara Bonstein 305 College Road East
Princeton NJ 08540
Chief Financial 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 Disposition 2017-11-06 3,862 $3.30 227,908 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Option Acquisiton 2017-11-02 100,000 $0.00 100,000 $3.19
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
100,000 2018-11-02 2027-11-02 No 4 A Direct
Footnotes
  1. In connection with the vesting of 9,533 shares on November 3, 2017, a total of 3,862 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.
  2. Reflects the weighted average sale price. The range of prices for such transaction is $3.30 to $3.31. 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.
  3. This award relates to the annual long term incentive grant awarded by the Compensation Committee following the completion of our 2017 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 2, 2018, one-third on November 2, 2019, and will be fully vested on November 2, 2020.