0001493152-19-016010.txt : 20191025 0001493152-19-016010.hdr.sgml : 20191025 20191025163106 ACCESSION NUMBER: 0001493152-19-016010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191024 FILED AS OF DATE: 20191025 DATE AS OF CHANGE: 20191025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERMAN RICHARD J CENTRAL INDEX KEY: 0001111620 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36138 FILM NUMBER: 191170234 MAIL ADDRESS: STREET 1: 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 ownership.xml X0306 4 2019-10-24 0 0001100397 Advaxis, Inc. ADXS 0001111620 BERMAN RICHARD J 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 1 0 0 0 Option 0.31 2019-10-24 4 A 0 10000 0 A 2020-10-24 2029-10-24 Common Stock 10000 10000 D This award relates to the annual long term incentive grant awarded by the Compensation Committee following the completion of our 2019 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on October 24, 2020, one-third on October 24, 2021, and will be fully vested on October 24, 2022. /s/ Molly Henderson, as attorney-in-fact for Richard Berman 2019-10-25