0001493152-23-002241.txt : 20230123
0001493152-23-002241.hdr.sgml : 20230123
20230123181612
ACCESSION NUMBER: 0001493152-23-002241
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230119
FILED AS OF DATE: 20230123
DATE AS OF CHANGE: 20230123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Spiegel Robert J.
CENTRAL INDEX KEY: 0001492256
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36138
FILM NUMBER: 23545477
MAIL ADDRESS:
STREET 1: C/O GERON CORPORATION
STREET 2: 230 CONSTITUTION DRIVE
CITY: MENLO PARK
STATE: CA
ZIP: 94025
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Ayala Pharmaceuticals, 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: 9 DEER PARK DRIVE
STREET 2: SUITE K-1
CITY: MONMOUTH JUNCTION
STATE: NJ
ZIP: 08852
BUSINESS PHONE: 732 545 1590
MAIL ADDRESS:
STREET 1: 9 DEER PARK DRIVE
STREET 2: SUITE K-1
CITY: MONMOUTH JUNCTION
STATE: NJ
ZIP: 08852
FORMER COMPANY:
FORMER CONFORMED NAME: Advaxis, Inc.
DATE OF NAME CHANGE: 20050105
FORMER COMPANY:
FORMER CONFORMED NAME: GREAT EXPECTATIONS & ASSOCIATES INC
DATE OF NAME CHANGE: 19991203
4
1
ownership.xml
X0306
4
2023-01-19
0
0001100397
Ayala Pharmaceuticals, Inc.
ADXS
0001492256
Spiegel Robert J.
9 DEER PARK DRIVE, SUITE K-1
MONMOUTH JUNCTION
NJ
08852
1
0
0
0
Stock Option
27.21
2023-01-19
4
A
0
3279
A
2028-03-20
Common Stock
3279
3279
D
Stock Option
47.17
2023-01-19
4
A
0
2342
A
2030-02-12
Common Stock
2342
2342
D
Stock Option
55.23
2023-01-19
4
A
0
1171
A
2031-06-09
Common Stock
1171
1171
D
Stock Option
8.70
2023-01-19
4
A
0
1171
A
2032-06-12
Common Stock
1171
1171
D
This option is fully vested and exercisable.
Received in the merger of Ayala Pharmaceuticals, Inc. ("Old Ayala") into the Issuer (the "Merger") in exchange for an employee stock option to acquire 17,500 shares of the common stock of Old Ayala for $5.10 per share.
Received in the Merger in exchange for an employee stock option to acquire 12,500 shares of the common stock of Old Ayala for $8.84 per share.
Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $10.35 per share.
This option vests and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Issuer's 2023 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.
Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $1.63 per share.
/s/ Robert J. Spiegel
2023-01-23