SEC Form 4 · accession 0001493152-15-005109

Advaxis, Inc. · ADXS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer

Period of report

Oct 30, 2015

Accepted (ET)

Nov 3, 2015 · 4:30 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
Common Stock^F1	Oct 30, 2015	A	641	$11.09	A	340,404	D
Common Stock^F2	Oct 30, 2015	F	321	$11.09	D	340,083	D
Common Stock^F3,F4	Oct 30, 2015	S	8,350	$12.26	D	331,733	D

No Table II lines on this filing.

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.
F3In connection with the vesting of 16,667 shares on October 31, 2015, a total of 8,350 of such shares were withheld by the Company in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies.
F4Reflects the weighted average sale price. The range of prices for such transaction is $12.06 to $12.40. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.