SEC Form 4 · accession 0001493152-18-015363
Advaxis, Inc. · ADXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roni Appel
Director
Period of report
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001100397
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $0.54 | Nov 5, 2018 | A | 25,000 | A | Nov 5, 2019 | Nov 5, 2028 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1This award relates to the annual long term incentive grant awarded by the Compensation Committee following the completion of our 2018 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 5, 2019, one-third on November 5, 2020, and will be fully vested on November 5, 2021.