Filing Details
- Accession Number:
- 0001493152-18-015360
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-07 17:00:24
- Reporting Period:
- 2018-11-05
- Accepted Time:
- 2018-11-07 17:00:24
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | Disposition | 2018-11-05 | 3,963 | $0.58 | 231,206 | 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 | 2018-11-05 | 150,000 | $0.00 | 150,000 | $0.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 150,000 | 2019-11-05 | 2028-11-05 | No | 4 | A | Direct |
Footnotes
- In connection with the vesting of 9,534 shares on November 5, 2018, a total of 3,963 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.
- Reflects the weighted average sale price. The range of prices for such transaction is $0.57 to $0.58. 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.
- This award relates to the annual long term incentive grant awarded by the Compensation Committee following the completion of our 2018 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 5, 2019, one-third on November 5, 2020, and will be fully vested on November 5, 2021.
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