4//SEC Filing
MOORE THOMAS A 4
Accession 0001144204-12-038742
CIK 0001100397other
Filed
Jul 8, 8:00 PM ET
Accepted
Jul 9, 6:43 PM ET
Size
21.5 KB
Accession
0001144204-12-038742
Insider Transaction Report
Form 4
Advaxis, Inc.ADXS
MOORE THOMAS A
DirectorCHAIRMAN / CEO
Transactions
- Award
Common Stock Warrants (right to buy)
2012-07-05+400,000→ 400,000 totalExercise: $0.15Exp: 2017-05-18→ Common Stock (400,000 underlying) - Disposition to Issuer
Common Stock Warrants (right to buy)
2012-07-05−400,000→ 0 totalExercise: $0.15Exp: 2017-05-18→ Common Stock (400,000 underlying) - Award
Common Stock Warrants (right to buy)
2012-07-05+191,334→ 191,334 totalExercise: $0.15→ Common Stock (191,334 underlying) - Award
Common Stock Warrants (right to buy)
2012-07-05+2,798,765→ 2,798,765 totalExercise: $0.15→ Common Stock (2,798,765 underlying) - Disposition to Issuer
Common Stock Warrants (right to buy)
2012-07-05−191,334→ 0 totalExercise: $0.15Exp: 2012-08-15→ Common Stock (191,334 underlying) - Disposition to Issuer
Common Stock Warrants (right to buy)
2012-07-05−7,674,512→ 0 totalExercise: $0.15Exp: 2014-08-29→ Common Stock (7,674,512 underlying) - Disposition to Issuer
Common Stock Warrants (right to buy)
2012-07-05−2,798,765→ 0 totalExercise: $0.15Exp: 2012-10-17→ Common Stock (2,798,765 underlying) - Award
Common Stock Warrants (right to buy)
2012-07-05+7,674,512→ 7,674,512 totalExercise: $0.15Exp: 2014-08-29→ Common Stock (7,674,512 underlying)
Footnotes (4)
- [F1]Immediately
- [F2]On July 5, 2012, Advaxis, Inc. (the "Company") entered into an Exchange Agreement (the "Exchange Agreement") with the Reporting Person pursuant to which the Reporting Person disposed of warrants to purchase an aggregate of 11,064,611 shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), in exchange for warrants to purchase an aggregate of 11,064,611 shares of Common Stock (the "Exchanged Warrants") in a transaction exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16b-3 promulgated thereunder.
- [F3]None of the Exchanged Warrants may be exercised until the Company has filed an amendment to its certificate of incorporation to increase the authorized number of shares of Common Stock in such a manner as to permit the exercise, in full, of the Exchanged Warrants.
- [F4]The expiration date of these Exchanged Warrants shall be the date that is two years following the date that the Company initially files an amendment to its certificate of incorporation to increase the authorized number of shares of Common Stock in such a manner as to permit the exercise, in full, of the Exchanged Warrants.
Documents
Issuer
Advaxis, Inc.
CIK 0001100397
Entity typeother
Related Parties
1- filerCIK 0001200699
Filing Metadata
- Form type
- 4
- Filed
- Jul 8, 8:00 PM ET
- Accepted
- Jul 9, 6:43 PM ET
- Size
- 21.5 KB