0001493152-17-004628.txt : 20170501
0001493152-17-004628.hdr.sgml : 20170501
20170501173118
ACCESSION NUMBER: 0001493152-17-004628
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170428
FILED AS OF DATE: 20170501
DATE AS OF CHANGE: 20170501
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: 17802143
MAIL ADDRESS:
STREET 1: 550 HILLS DRIVE
STREET 2: 3RD FLOOR
CITY: BEDMINSTER
STATE: NJ
ZIP: 07921
4
1
form4.xml
X0306
4
2017-04-28
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
2017-04-28
4
A
0
349
8.56
A
297091
D
Common Stock
2017-05-01
4
A
0
142996
0
A
440087
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 503 shares of which 154 shares were forfeited to pay withholding taxes associated with the stock issuance.
The award vests one-third on November 1, 2017, one-third on November 1, 2018, and will be fully vested on November 1, 2019.
/s/ Sara Bonstein, as attorney-in-fact for Daniel O'Connor
2017-05-01