UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (1) | 03/07/2021 | Common Stock | 6,400 | $ 15.38 | D | Â |
Stock Option (right to buy) | Â (2) | 11/18/2021 | Common Stock | 12,000 | $ 18.5 | D | Â |
Stock Option (right to buy) | Â (3) | 03/14/2023 | Common Stock | 14,000 | $ 9.375 | D | Â |
Warrants | 12/19/2012 | 12/15/2015 | Common Stock | 2,263 | $ 5.625 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FRENCH CHRISTY LEE C/O ADVAXIS, INC. 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 |
 |  |  Exec. Dir. of Medical Affairs |  |
/s/ Christy French | 09/17/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Options granted to reporting person as of 3/7/2011. One-third of such options vested on 3/7/2012. One-third vested on 3/7/2013 and the remaining one-third will vest on 3/7/2014. |
(2) | Options granted to reporting person as of 11/18/2011. One-third of such options vested on the 11/18/2012. One-third will vest on 11/18/2013 and the remaining one-third will vest on 11/18/2014. |
(3) | Options granted to reporting person as of 03/14/2013. One third of such options vested on the date of grant. One-third will vest on 03/14/2014 and the remaining one-third will vest on 03/14/2015. |