SEC Form 4 · accession 0001493152-16-010481
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
May 31, 2016
Accepted (ET)
Jun 1, 2016 · 4:31 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 | May 31, 2016 | A | 1,020 | $9.26 | A | 308,837 | D | |
| Common StockF2 | May 31, 2016 | F | 268 | $9.26 | D | 308,569 | D |
Table II — derivative securities
No Table II lines on this filing.
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.
- F2Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance.