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