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