SEC Form 4 · accession 0001493152-16-012173
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Berman
Director
Period of report
Aug 8, 2016
Accepted (ET)
Aug 10, 2016 · 7:31 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 | Aug 8, 2016 | S | 18,000 | $15.21 | D | 66,430 | D | |
| Common StockF2 | Aug 9, 2016 | S | 15,761 | $15.67 | D | 50,669 | 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 $14.65 to $15.95. 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 on that day. 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.
- F2Reflects the weighted average sale price. The range of prices for such transaction is $15.50 to $15.75. 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 on that day. 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.