0001493152-17-003407.txt : 20170403 0001493152-17-003407.hdr.sgml : 20170403 20170403163859 ACCESSION NUMBER: 0001493152-17-003407 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170403 DATE AS OF CHANGE: 20170403 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 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: 17734750 MAIL ADDRESS: STREET 1: C/O ADVAXIS, INC. STREET 2: 305 COLLEGE ROAD EAST CITY: PRINCETON STATE: NJ ZIP: 08540 4 1 form4.xml X0306 4 2017-03-31 0 0001100397 Advaxis, Inc. ADXS 0001576077 PETIT ROBERT 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 0 1 0 0 Chief Scientific Officer Common Stock 2017-03-31 4 A 0 219 8.17 A 122051 D Common Stock 2017-03-31 4 S 0 2454 8.24 D 119597 D The reporting voluntarily person 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 320 shares of which 101 shares were forfeited to pay withholding taxes associated with the stock issuance. In connection with the vesting of 7,773 shares on March 30, 2017, a total of 2,454 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. Reflects the weighted average sale price. The range of prices for such transaction is $8.23 to $8.26. 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. /s/ Sara Bonstein, as attorney-in-fact for Petit Robert 2017-04-03