Initial Statement of Beneficial Ownership (3)
February 16 2021 - 04:36PM
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
Estimated average burden
hours per response... 0.5 |
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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] |
(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)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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6. Individual or Joint/Group
Filing(Check Applicable
Line)_X_ Form filed by One Reporting
Person
___ Form filed by More than One Reporting Person |
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 |
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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
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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 |
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2/16/2021 |
**Signature of
Reporting Person |
Date |