SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
APPEL RONI

(Last) (First) (Middle)
C/O ADVAXIS, INC., TECHNOLOGY CENTER
OF NJ, 675 US HIGHWAY ONE

(Street)
NORTH BRUNSWICK NJ 08902

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Advaxis, Inc. [ ADXS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/31/2005
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/25/2006 P 238,095 A $0.185 2,620,760(1) D
Common Stock 11/03/2006 I 355,528(2) A $0.19 2,976,288 D
Common Stock 01/03/2007 P 1,000,000 A $0.2 3,976,288 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option $0.217 12/31/2005 A 1,173,179 12/31/2005(3) 04/01/2015 Common Stock 1,173,179 $0.217 2,287,523(4) D
Option $0.3549 11/03/2006 I 91,567(5) 11/02/2002 11/01/2012 Common Stock 91,567 $0.3549 2,379,090(5) D
Warrants $0.4 11/03/2006 I 355,528(6) 11/12/2004 11/10/2009 Common Stock 355,528 $0.4 428,558 D
Warrants $0.1952 11/03/2006 I 57,913(6) 11/12/2004 12/31/2009 Common Stock 57,913 $0.1952 486,471 D
Explanation of Responses:
1. This amount does not include 355,528 shares previously held by Carmel Ventures Inc. of which the reporting person is the sole shareholder.
2. These shares were held by Carmel Ventures, Inc., which was dissolved during year 2006, and the assets are in the process of being transferred to Mr. Appel, a sole shareholder. Mr. Appel previously reported these shares as indirectly owned on Form 3.
3. The options are fully vested.
4. This amount does not include (a.) warrants to purchase an aggregate 73,030 shares of common stock held directly by reporting person and included elsewhere in this report, and (b.) warrants to purchase an aggregate 413,441 shares of common stock and options to purchase an aggregate of 91,567 shares of common stock held by Carmel Ventures, Inc. of which the reporting person is the sole shareholder, and which are included elsewhere in this report.
5. These options were held by Carmel Ventures, Inc., which was dissolved during year 2006, and the assets are in the process of being transferred to Mr. Appel. Mr. Appel previously reported these shares as indirectly owned on Form 3. The options are fully vested. This amount does not include (a.) warrants to purchase an aggregate 73,030 shares of common stock held directly by reporting person and included elsewhere in this report, and (b.) warrants to purchase an aggregate 413,441 shares of common stock held by Carmel Ventures, Inc. of which the reporting person is the sole shareholder, and which are included elsewhere in this report.
6. These warrants were held by Carmel Ventures, Inc., which was dissolved during year 2006, and the assets are in the process of being transferred to Mr. Appel. Mr. Appel previously reported these shares as indirectly owned on Form 3.
/s/ Roni Appel 01/10/2007
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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