Filing Details

Accession Number:
0000902664-17-003964
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-10-12 15:53:51
Reporting Period:
2017-10-11
Accepted Time:
2017-10-12 15:53:51
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
1163846 Adage Capital Partners, L.p. 200 Clarendon Street, 52Nd Floor
Boston MA 02116
No No Yes No
1165408 Adage Capital Partners Gp, L.l.c. 200 Clarendon Street, 52Nd Floor
Boston MA 02116
No No Yes No
1403403 Adage Capital Advisors, L.l.c. 200 Clarendon Street
52Nd Floor
Boston MA 02116
No No Yes No
1403404 Robert Atchinson 200 Clarendon Street
52Nd Floor
Boston MA 02116
No No Yes No
1403413 Phillip Gross 200 Clarendon Street
52Nd Floor
Boston MA 02116
No No Yes 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, Par Value $0.001 ("Common Stock") Disposition 2017-10-11 600,000 $4.30 4,100,043 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
Footnotes
  1. The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. ACPGP, ACA, Robert Atchinson and Phillip Gross disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.30 to $4.32, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.