APPEL RONI 4
4 · Advaxis, Inc. · Filed Sep 13, 2018
Insider Transaction Report
Form 4
Advaxis, Inc.ADXS
APPEL RONI
Director
Transactions
- Purchase
Common Stock
2018-09-11$1.20/sh+33,333$40,000→ 157,143 total(indirect: See note) - Purchase
Common Stock Warrants
2018-09-11+28,333→ 28,333 total(indirect: See note)Exercise: $1.50From: 2018-09-11Exp: 2024-09-11→ Common stock (28,333 underlying)
Footnotes (3)
- [F1]Represents shares purchased by the reporting person as a part of a company financing completed on September 11, 2018.
- [F2]Represents warrants purchased by the reporting person as a part of a company financing completed on September 11, 2018.
- [F3]The shares and warrants were purchased by RS Group LLC of which the reporting person is a majority owner. The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $1.20 per unit. Each share of common stock is accompanied by one Warrant to purchase 0.85 shares of Common Stock, which are exercisable immediately for a period of 6 years.