SEC Form 4 · accession 0000902664-17-003757
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Adage Capital Partners, L.P.
10% Owner
ADAGE CAPITAL PARTNERS GP, L.L.C.
10% Owner
Adage Capital Advisors, L.L.C.
10% Owner
Robert Atchinson
10% Owner
Phillip Gross
10% Owner
Period of report
Sep 22, 2017
Accepted (ET)
Sep 26, 2017 · 5:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001100397
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 ("Common Stock")F1 | Sep 22, 2017 | S | 534,000 | $4.68 | D | 5,405,366 | I | See footnote |
| Common StockF1 | Sep 25, 2017 | S | 405,323 | $4.38 | D | 5,000,043 | I | See footnote |
| Common StockF1 | Sep 26, 2017 | S | 300,000 | $4.00 | D | 4,700,043 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.