SEC Form 4 · accession 0001493152-18-015218
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
Nov 2, 2018
Accepted (ET)
Nov 5, 2018 · 6:00 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 | Nov 2, 2018 | S | 8,491 | $0.56 | D | 235,169 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In connection with the vesting of 28,826 shares on April 2, 2018, a total of 8,491 of such shares were withheld by the Company in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies.