UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options | 08/13/2016 | 08/13/2025 | Common Stock | 50,000 (2) | $ 17.22 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ridge Thomas J C/O ADVAXIS, INC., 305 COLLEGE ROAD EAST PRINCETON,, NJ 08540 |
 X |  |  |  |
/s/ Sara Bonstein, as attorney-in-fact for Thomas Ridge | 08/26/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person was awarded 636 shares which represents compensation for director services for fiscal year 2015. The reporting person was also awarded 15,240 restricted stock units (RSUs). 2,740 shares will vest on October 31, 2015. Thereafter, 3,125 RSU will vest quarterly such that the entire award is fully vested and not subject to forfeiture on October 31, 2016. |
(2) | The reporting person was awarded a new director grant which fully vests on August 13, 2016. |