0001493152-18-008133.txt : 20180601 0001493152-18-008133.hdr.sgml : 20180601 20180601163023 ACCESSION NUMBER: 0001493152-18-008133 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180531 FILED AS OF DATE: 20180601 DATE AS OF CHANGE: 20180601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PETIT ROBERT CENTRAL INDEX KEY: 0001576077 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36138 FILM NUMBER: 18875455 MAIL ADDRESS: STREET 1: C/O ADVAXIS, INC. STREET 2: 305 COLLEGE ROAD EAST CITY: PRINCETON STATE: NJ ZIP: 08540 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 4 1 form4.xml X0306 4 2018-05-31 0 0001100397 Advaxis, Inc. ADXS 0001576077 PETIT ROBERT 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 0 1 0 0 Chief Scientific Officer Common Stock 2018-05-31 4 A 0 1765 1.82 A 226639 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 2,156 shares of which 391 shares were forfeited to pay withholding taxes associated with the stock issuance. /s/ Kenneth Berlin, as attorney-in-fact for Robert Petit 2018-06-01