SEC Form 4 · accession 0001493152-15-000383
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J McKearn
Director
Period of report
Nov 3, 2014
Accepted (ET)
Feb 4, 2015 · 9:42 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 | Nov 3, 2014 | A | 25,115 | $0.00 | A | 98,644 | D | |
| Common StockF2,F3 | Nov 3, 2014 | F | 13,424 | $3.04 | D | 85,220 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents stock compensation for director services for fiscal year 2015.
- F2Represents shares forfeited by the reporting person in order to pay the withholding taxes associated with the stock issuance.
- F3The share price used in determining the number of shares issued is the average of the 30 preceding trading days prior to November 1, 2014.