Filing Details
- Accession Number:
- 0001493152-16-014442
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-02 16:40:13
- Reporting Period:
- 2016-10-31
- Filing Date:
- 2016-11-02
- Accepted Time:
- 2016-11-02 16:40:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1376847 | Daniel O'connor | 305 College Road East Princeton NJ 08540 | Chief Executive Officer | Yes | 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 | 2016-10-31 | 467 | $8.09 | 303,127 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2016-10-31 | 231 | $8.09 | 302,896 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-11-02 | 8,240 | $8.32 | 294,656 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Footnotes
- The reporting 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).
- Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance.
- In connection with the vesting of 16,667 shares on October 31, 2016, a total of 8,240 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 $8.19 to $8.46. 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.
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