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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants | $ 0.4 | 10/17/2007 | D(2) | 58,581 | 11/12/2004 | 11/10/2009 | Common Stock | 58,581 | (2) | 675,897 (3) | D | ||||
Warrants | $ 0.274 | 10/17/2007 | A(2) | 85,377 | 11/12/2004 | 11/10/2009 | Common Stock | 85,377 | (2) | 675,897 (3) | D | ||||
Warrants | $ 0.4 | 10/17/2007 | D(2) | 355,528 | 11/12/2004 | 11/10/2009 | Common Stock | 355,528 | (2) | 675,897 (3) | D | ||||
Warrants | $ 0.274 | 10/17/2007 | A(2) | 518,158 | 11/12/2004 | 11/10/2009 | Common Stock | 518,158 | (2) | 675,897 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
APPEL RONI C/O ADVAXIS, INC. TECHNOLOGY CENTER OF NJ, 675 US HWY ONE NORTH BRUNSWICK, NJ 08902 |
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/s/ Roni Appel | 04/14/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | The Reporting Person received these shares in connection with a settlement agreement regarding the termination of the Reporting Person's employment with the Issuer. |
(2) | The four reported transactions involved anti-dilution adjustments of two outstanding warrants, resulting in the deemed cancellation of the "old" warrants and the deemed grant of a replacement warrant. The adjustments were necessary because the anti-dilution provision in each "old" warrant was triggered by a subsequent warrant issuance by the Issuer, resulting in a new exercise price and a change in the amount of shares underlying the warrants. |
(3) | This total includes 72,362 shares of common stock issuable upon the exercise of warrants as previously reported with the Securities and Exchange Commission on July 5, 2005, but excludes options to purchase 2,379,090 common shares, as previously reported on form 4. |