SEC Form 4 · accession 0001493152-15-000021
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory T. Mayes
Officer — Chief Operating Officer
Period of report
Dec 31, 2014
Accepted (ET)
Jan 2, 2015 · 4:31 pm EST
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 StockF1 | Dec 31, 2014 | A | 190 | $8.01 | A | 118,219 | D | |
| Common StockF2 | Dec 31, 2014 | F | 23 | $8.01 | D | 118,196 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person voluntarily agreed to use a percentage of his base salary to purchase restricted shares of the issuer. Shares are purchased monthly using the closing price of the last trading day of the month.
- F2Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance.