SEC Form 4 · accession 0001493152-18-009554
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Petit
Officer — Chief Scientific Officer
Period of report
Jun 12, 2018
Accepted (ET)
Jul 2, 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 | Jun 12, 2018 | A | 5,000 | $1.84 | A | 231,639 | D | |
| Common StockF1 | Jun 18, 2018 | A | 9,000 | $1.72 | A | 240,639 | D | |
| Common StockF2 | Jun 29, 2018 | A | 1,516 | $1.45 | A | 242,155 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a voluntary at market stock purchase by the reporting person on the open market
- F2The reporting person voluntarily 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 1,804 shares of which 288 shares were forfeited to pay withholding taxes associated with the stock issuance.