0001493152-20-007728.txt : 20200505 0001493152-20-007728.hdr.sgml : 20200505 20200505160036 ACCESSION NUMBER: 0001493152-20-007728 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200504 FILED AS OF DATE: 20200505 DATE AS OF CHANGE: 20200505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Berlin Kenneth A CENTRAL INDEX KEY: 0001738414 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36138 FILM NUMBER: 20848718 MAIL ADDRESS: STREET 1: 22 STREET 2: CANTERBURY LANE CITY: BELLE MEAD STATE: NJ ZIP: 08502 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 4 1 ownership.xml X0306 4 2020-05-04 0 0001100397 Advaxis, Inc. ADXS 0001738414 Berlin Kenneth A 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 0 1 0 0 President and CEO Options 0.66 2020-05-04 4 A 0 50000 0 A 2030-05-04 Common Stock 50000 50000 D This award relates to an incentive grant awarded by the Compensation Committee and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on May 4, 2021, one-third on May 4, 2022, and will be fully vested on May 4, 2023. /s/ Molly Henderson, as attorney-in-fact for Kenneth A. Berlin 2020-05-05