0001493152-16-014577.txt : 20161107 0001493152-16-014577.hdr.sgml : 20161107 20161107163112 ACCESSION NUMBER: 0001493152-16-014577 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161103 FILED AS OF DATE: 20161107 DATE AS OF CHANGE: 20161107 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: PATTON JAMES P CENTRAL INDEX KEY: 0001306152 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36138 FILM NUMBER: 161978524 MAIL ADDRESS: STREET 1: 1937 SWEDESFORD ROAD CITY: MALVERN STATE: PA ZIP: 19355 4 1 form4.xml X0306 4 2016-11-03 0 0001100397 Advaxis, Inc. ADXS 0001306152 PATTON JAMES P 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 1 0 0 0 Option 7.71 2016-11-03 4 A 0 25000 0 A 2017-11-03 2026-11-03 Common Stock 25000 25000 D This award relates to an annual grant awarded by the Compensation Committee following the completion of our 2016 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 3, 2017, one-third on November 3, 2018, and will be fully vested on November 3, 2019. /s/ Sara Bonstein, as attorney-in-fact for James Patton 2016-11-07