Initial Statement of Beneficial Ownership (3)
February 16 2021 - 4:36PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Gitelman Igor |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/11/2021
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3. Issuer Name and Ticker or Trading Symbol
Advaxis, Inc. [ADXS]
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(Last)
(First)
(Middle)
C/O ADVAXIS, INC., 305 COLLEGE ROAD EAST |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Accounting Officer / |
(Street)
PRINCETON, NJ 08540
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | (1) | 11/16/2030 | Common Stock | 50000 | $0 | D | |
Explanation of Responses: |
(1) | The option is subject to three-year vesting with one-third vesting on November 16, 2021, one-third on November 16, 2022 and the final one-third vesting on November 16, 2023, subject to the reporting persons continued service to Advaxis, Inc. (the "Company") on the applicable vesting date and the terms and conditions of the Company's 2015 Incentive Plan |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gitelman Igor C/O ADVAXIS, INC. 305 COLLEGE ROAD EAST PRINCETON, NJ 08540 |
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| Chief Accounting Officer |
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Signatures
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/s/ Igor Gitelman | | 2/16/2021 |
**Signature of Reporting Person | Date |
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