SEC Form 4 · accession 0001493152-15-001228
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sara Bonstein
Officer — Chief Financial Officer
Period of report
Mar 30, 2015
Accepted (ET)
Apr 1, 2015 · 6:05 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 31, 2015 | A | 95 | $14.44 | A | 93,893 | D | |
| Common StockF2 | Mar 31, 2015 | F | 18 | $14.44 | D | 93,875 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF3 | $13.44 | Mar 30, 2015 | A | 251,130 | A | Mar 30, 2015 | Mar 30, 2025 | Common Stock | 251,130 | 251,130 | D |
Explanation of responses
- F1The reporting person voluntarily purchases restricted stock directly from the Company at market price on 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.
- F3The award vests one-fourth immediately, one-fourth on March 30, 2016, one-fourth on March 30, 2017, and will be fully vested on March 30, 2018.