SEC Form 4 · accession 0001493152-16-008156
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J McKearn
Director
Period of report
Mar 16, 2016
Accepted (ET)
Mar 18, 2016 · 6:00 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 16, 2016 | S | 14,000 | $8.25 | D | 86,220 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the weighted average sale price. The range of prices for such transaction is $8.10 to $8.58. 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.