SEC Form 4 · accession 0001493152-18-004692
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sara Bonstein
Officer — Chief Financial Officer
Period of report
Mar 29, 2018
Accepted (ET)
Apr 3, 2018 · 4:30 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 29, 2018 | A | 1,088 | $1.69 | A | 226,670 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting voluntarily 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). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 1,365 shares of which 277 shares were forfeited to pay withholding taxes associated with the stock issuance.