SEC Form 4 · accession 0001493152-18-005416
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony A Lombardo
Officer — Interim CEO
Period of report
Apr 17, 2018
Accepted (ET)
Apr 18, 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 | Apr 17, 2018 | F | 11,051 | $1.70 | D | 81,852 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance. The forfeiture was involuntary and in accordance with corporate policies.