SEC Form 4 · accession 0001493152-15-005221
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
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
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $12.81 | Nov 5, 2015 | A | 450,000 | A | Nov 5, 2016 | Nov 5, 2025 | Common Stock | 450,000 | 450,000 | D |
Explanation of responses
- F1This award relates to the annual long term incentive 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. A portion of this award is subject to certain conditions. The award vests one-third on November 5, 2016, one-third on November 5, 2017, and will be fully vested on November 5, 2018.