Filing Details

Accession Number:
0001493152-18-013213
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-09-13 16:30:14
Reporting Period:
2018-09-11
Accepted Time:
2018-09-13 16:30:14
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
1305979 Roni Appel 305 College Road East
Princeton., NJ 08540
Yes No 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 2018-09-11 33,333 $1.20 157,143 No 4 P Indirect See note
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See note
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock Warrants Acquisiton 2018-09-11 28,333 $0.00 28,333 $1.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
28,333 2018-09-11 2024-09-11 No 4 P Indirect
Footnotes
  1. Represents shares purchased by the reporting person as a part of a company financing completed on September 11, 2018.
  2. Represents warrants purchased by the reporting person as a part of a company financing completed on September 11, 2018.
  3. The shares and warrants were purchased by RS Group LLC of which the reporting person is a majority owner. The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $1.20 per unit. Each share of common stock is accompanied by one Warrant to purchase 0.85 shares of Common Stock, which are exercisable immediately for a period of 6 years.