SEC Form 4 · accession 0001493152-15-005219
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Ridge
Director
Period of report
Nov 5, 2015
Accepted (ET)
Nov 6, 2015 · 6:00 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 5, 2015 | A | 3,430 | $0.00 | A | 19,306 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2 | $12.81 | Nov 5, 2015 | A | 40,000 | A | Nov 5, 2016 | Nov 5, 2025 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Represents compensation for director services Gov. Ridge elected to receive in stock.
- F2This award relates to an annual grant awarded by the Compensation Committee following the completion of our 2015 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 5, 2016, one-third on November 5, 2017, and will be fully vested on November 5, 2018.