4//SEC Filing
PETIT ROBERT 4
Accession 0001493152-18-015360
CIK 0001100397other
Filed
Nov 6, 7:00 PM ET
Accepted
Nov 7, 5:00 PM ET
Size
8.3 KB
Accession
0001493152-18-015360
Insider Transaction Report
Form 4
Advaxis, Inc.ADXS
PETIT ROBERT
Chief Scientific Officer
Transactions
- Sale
Common Stock
2018-11-05$0.58/sh−3,963$2,299→ 231,206 total - Award
Option
2018-11-05+150,000→ 150,000 totalExercise: $0.54From: 2019-11-05Exp: 2028-11-05→ Common Stock (150,000 underlying)
Footnotes (3)
- [F1]In connection with the vesting of 9,534 shares on November 5, 2018, a total of 3,963 of such shares were withheld by the Company in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies.
- [F2]Reflects the weighted average sale price. The range of prices for such transaction is $0.57 to $0.58. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price in accordance with the issuer's corporate policies.
- [F3]This award relates to the annual long term incentive grant awarded by the Compensation Committee following the completion of our 2018 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 5, 2019, one-third on November 5, 2020, and will be fully vested on November 5, 2021.
Documents
Issuer
Advaxis, Inc.
CIK 0001100397
Entity typeother
Related Parties
1- filerCIK 0001576077
Filing Metadata
- Form type
- 4
- Filed
- Nov 6, 7:00 PM ET
- Accepted
- Nov 7, 5:00 PM ET
- Size
- 8.3 KB