SEC Form 4 · accession 0001493152-15-001226
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Patton
Director
Period of report
Mar 30, 2015
Accepted (ET)
Apr 1, 2015 · 6:03 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 StockF1 | Mar 30, 2015 | A | 15,000 | $0.00 | A | 207,290 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $13.44 | Mar 30, 2015 | A | 20,000 | A | Mar 30, 2016 | Mar 30, 2025 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The award vests one-third on March 30, 2016, one-third on March 30, 2017, and will be fully vested on March 30, 2018.