SEC Form 4 · accession 0001493152-18-013213
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roni Appel
Director
Period of report
Sep 11, 2018
Accepted (ET)
Sep 13, 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,F3 | Sep 11, 2018 | P | 33,333 | $1.20 | A | 157,143 | I | See note |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock WarrantsF2,F3 | $1.50 | Sep 11, 2018 | P | 28,333 | A | Sep 11, 2018 | Sep 11, 2024 | Common stock | 28,333 | 28,333 | I |
Explanation of responses
- F1Represents shares purchased by the reporting person as a part of a company financing completed on September 11, 2018.
- F2Represents warrants purchased by the reporting person as a part of a company financing completed on September 11, 2018.
- F3The shares and warrants were purchased by RS Group LLC of which the reporting person is a majority owner. The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $1.20 per unit. Each share of common stock is accompanied by one Warrant to purchase 0.85 shares of Common Stock, which are exercisable immediately for a period of 6 years.