SEC Form 4 · accession 0001493152-15-001232
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel O'Connor
Officer — Chief Executive Officer
Period of report
Mar 30, 2015
Accepted (ET)
Apr 1, 2015 · 6:08 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 | 461 | $14.44 | A | 357,353 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2 | $13.44 | Mar 30, 2015 | A | 670,000 | A | Mar 30, 2015 | Mar 30, 2025 | Common Stock | 670,000 | 670,000 | 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.
- F2The 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.