Filing Details
- Accession Number:
- 0001144204-13-057268
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-28 21:51:35
- Reporting Period:
- 2013-10-24
- Filing Date:
- 2013-10-28
- Accepted Time:
- 2013-10-28 21:51:35
- 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 |
|---|---|---|---|---|---|---|---|
| 1329154 | J Mark Rosenblum | 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 | 2013-10-24 | 12,000 | $4.00 | 20,196 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Warrants | Acquisiton | 2013-10-24 | 6,000 | $0.00 | 6,000 | $5.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,000 | 2013-10-22 | 2018-10-22 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,706 | Direct |
Footnotes
- Represents shares of common stock acquired pursuant to issuer's 2011 Employee Stock Purchase Plan.
- Voluntarily purchased with cash portion of transaction bonus.
Billionaire Hedge Funds
