0001493152-17-003404.txt : 20170403 0001493152-17-003404.hdr.sgml : 20170403 20170403163605 ACCESSION NUMBER: 0001493152-17-003404 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170403 DATE AS OF CHANGE: 20170403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Advaxis, Inc. CENTRAL INDEX KEY: 0001100397 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 841521955 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 305 COLLEGE ROAD EAST CITY: PRINCETON, STATE: NJ ZIP: 08540 BUSINESS PHONE: 732 545 1590 MAIL ADDRESS: STREET 1: 305 COLLEGE ROAD EAST CITY: PRINCETON, STATE: NJ ZIP: 08540 FORMER COMPANY: FORMER CONFORMED NAME: GREAT EXPECTATIONS & ASSOCIATES INC DATE OF NAME CHANGE: 19991203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Connor Daniel CENTRAL INDEX KEY: 0001376847 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36138 FILM NUMBER: 17734716 MAIL ADDRESS: STREET 1: 550 HILLS DRIVE STREET 2: 3RD FLOOR CITY: BEDMINSTER STATE: NJ ZIP: 07921 4 1 form4.xml X0306 4 2017-03-31 0 0001100397 Advaxis, Inc. ADXS 0001376847 O'Connor Daniel 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 1 1 0 0 Chief Executive Officer Common Stock 2017-03-31 4 A 0 365 8.17 A 296742 D The 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 527 shares of which 162 shares were forfeited to pay withholding taxes associated with the stock issuance. /s/ Sara Bonstein, as attorney-in-fact for Daniel O'Connor 2017-04-03