SEC Form 4 · accession 0001493152-17-000066
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel O'Connor
Officer — Chief Executive Officer · Director
Period of report
Dec 30, 2016
Accepted (ET)
Jan 3, 2017 · 5:29 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 | Dec 30, 2016 | A | 792 | $7.16 | A | 295,814 | D | |
| Common StockF2 | Dec 30, 2016 | F | 192 | $7.16 | D | 295,622 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d).
- F2Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance.