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Home > Insider Trading > Filing (0001144204-13-039033)

Filing Details

Accession Number:: 0001144204-13-039033
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-07-10 20:40:59
Reporting Period:: 2012-11-20

Filing Date:: 2013-07-10
Accepted Time:: 2013-07-10 20:40:59
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
1111620	J Richard Berman	C/O Advaxis, Inc., 305 College Road East Princeton NJ 08540		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2012-11-20	150,000	$0.04	527,632	No	4	S	Direct
Common Stock	Disposition	2012-11-20	150,000	$0.04	377,632	No	4	S	Direct
Common Stock	Disposition	2012-11-21	67,306	$0.04	310,326	No	4	S	Direct
Common Stock	Disposition	2012-11-21	127,632	$0.04	182,694	No	4	S	Direct
Common Stock	Disposition	2012-11-21	82,694	$0.04	100,000	No	4	S	Direct
Common Stock	Disposition	2012-11-23	100,000	$0.04	0	No	4	S	Direct
Common Stock	Acquisiton	2013-06-12	1,816,364	$0.00	1,816,364	No	4	A	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	A	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Option	Acquisiton	2013-03-14	750,000	$0.00	750,000	$0.08

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
750,000		2023-03-14	No	4	A	Direct

Footnotes

Represents stock compensation that was earned for director services for the period between January 1, 2012 through March 31, 2013, but not issued until June 12, 2013.
One-third of the options vested on March 14, 2013, one-third of the options vest on March 14, 2014 and the remaining one-third of the options vest on March 14, 2015.