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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2018-01-03 18:00:28
Reporting Period:
Accepted Time:
2018-01-03 18:00:28
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1100397 Advaxis Inc. ADXS Pharmaceutical Preparations (2834) 841521955
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 Acquisiton 2017-12-29 473 $2.84 229,237 No 4 A Direct
Common Stock Disposition 2018-01-03 5,224 $3.18 224,013 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
  1. The reporting voluntarily person purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 813 shares of which 340 shares were forfeited to pay withholding taxes associated with the stock issuance.
  2. In connection with the vesting of 12,500 shares on January 2, 2018, a total of 5,224 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.
  3. Reflects the weighted average sale price. The range of prices for such transaction is $3.13 to $3.23. 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 in accordance with the issuer's corporate policies.