Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TriSalus Life Sciences, Inc.TLSI · Entity 5872 | Director | May 15, 2026 | May 18, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
TriSalus Life Sciences, Inc.
Report date May 15, 2026 · Filed May 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,510 |
Reported balance
After 2026-05-15 transaction · row 1
1 source rowRow 1 · 2026-05-15 · Purchase · Acquired 10,000 · Balance 72,510 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Old Ayala, Inc
Report date January 19, 2023 · Filed January 24, 2023
Section 16 reporting ended · disclosed 2023-01-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-01-19 transaction · row 1
1 source rowRow 1 · 2023-01-19 · Disposition to issuer · Disposed 58,520 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F2: All Ayala restricted stock awards that were outstanding immediately prior to the effective time of the merger were substituted and converted automatically into the right to receive a number of shares of restricted Advaxis Common Stock equal to the Exchange Ratio, subject to the terms and conditions applicable to the corresponding Ayala restricted stock awards. These shares consist of two grants of restricted stock which vest or vested as follows: (i) 8,520 shares granted on January 4, 2021 vesting quarterly over four years; and (ii) 50,000 shares granted on May 16, 2022 vesting quarterly over three years. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.16 · Expires 2029-09-19 | Direct | 0 |
Reported balance
After 2023-01-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-01-19 · Disposition to issuer · Disposed 89,000 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F3: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F4: This option vests or vested and becomes or became exercisable as to 17,750 of the underlying shares of common stock on August 1, 2020 and as to the remainder of the shares in 12 equal quarterly installments thereafter. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.26 · Expires 2031-01-03 | Direct | 0 |
Reported balance
After 2023-01-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-01-19 · Disposition to issuer · Disposed 19,170 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F3: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F5: This option vests or vested and becomes or became exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 4, 2025. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.11 · Expires 2032-01-02 | Direct | 0 |
Reported balance
After 2023-01-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-01-19 · Disposition to issuer · Disposed 31,950 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F3: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F6: This option vests or vested and becomes or became exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 3, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock").
F2: All Ayala restricted stock awards that were outstanding immediately prior to the effective time of the merger were substituted and converted automatically into the right to receive a number of shares of restricted Advaxis Common Stock equal to the Exchange Ratio, subject to the terms and conditions applicable to the corresponding Ayala restricted stock awards. These shares consist of two grants of restricted stock which vest or vested as follows: (i) 8,520 shares granted on January 4, 2021 vesting quarterly over four years; and (ii) 50,000 shares granted on May 16, 2022 vesting quarterly over three years.
F3: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option.
F4: This option vests or vested and becomes or became exercisable as to 17,750 of the underlying shares of common stock on August 1, 2020 and as to the remainder of the shares in 12 equal quarterly installments thereafter.
F5: This option vests or vested and becomes or became exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 4, 2025.
F6: This option vests or vested and becomes or became exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 3, 2026.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 15, 2026 Filed May 18, 2026 16:42 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | PurchaseCommon Stock | 10,000 | $2.46 | $24,600.00 |
DisclosureSEC source: 0001628280-26-035991 · wk-form4_1779136936.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,510 Read SEC document |
| May 14, 2026 Filed May 15, 2026 20:39 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | GrantDirector Stock Option (right to buy) · Derivative | 56,403 | $0.00 Strike: $2.52 | $0.00 |
DisclosureSEC source: 0001628280-26-035665 · wk-form4_1778877558.xml · derivative · entry 3 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 112,653 Underlying: Common Stock · 56,403 shares Expires 2036-05-13 F3 · derivative.exercise_date: The shares subject to the option shall fully vest on the one-year anniversary of the grant date of May 14, 2026, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| May 14, 2026 Filed May 15, 2026 20:39 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | GrantCommon Stock | 24,553 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-035665 · wk-form4_1778877558.xml · nonDerivative · entry 2 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,510 F2 · shares: Represents grant of restricted stock units (the "Retainer RSU Award") payable solely in common stock of the Issuer. The Reporting Person elected to receive the Retainer RSU Award in lieu of 2026 board service retainer cash fees provided for under the Issuer's Non-Employee Director Compensation Policy. The shares subject to the Retainer RSU Award shall vest quarterly in equal one-third installments through the remainder of 2026, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| May 14, 2026 Filed May 15, 2026 20:39 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | GrantCommon Stock | 28,201 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-035665 · wk-form4_1778877558.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,957 F1 · shares: Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. The shares subject to the RSU award shall fully vest on the one-year anniversary of the grant date of May 14, 2026, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| February 23, 2026 Filed Feb 23, 2026 21:08 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | PurchaseCommon Stock | 9,756 | $4.10 | $39,999.60 |
DisclosureSEC source: 0001628280-26-010605 · wk-form4_1771880900.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,756 Read SEC document |
| June 12, 2025 Filed Jun 27, 2025 20:26 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | GrantDirector Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001826667-25-000089 · wk-form4_1751056010.xml · derivative · entry 1 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,250 Underlying: Common Stock · 15,000 shares Expires 2035-06-11 F1 · derivative.exercise_date: The shares subject to the option shall fully vest on the one-year anniversary of the grant date of June 12, 2025, provided that the shares subject to the option will in any case be fully vested on the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| January 29, 2025 Filed Jan 31, 2025 23:05 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | GrantDirector Stock Option (right to buy) · Derivative | 6,250 | $0.00 Strike: $4.89 | $0.00 |
DisclosureSEC source: 0001415889-25-002546 · form4-01312025_110111.xml · derivative · entry 2 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,250 Underlying: Common Stock · 6,250 shares Expires 2035-01-28 F2 · derivative.exercise_date: The shares subject to the option shall fully vest on the one-year anniversary of the grant date of January 29, 2025, provided that the shares subject to the option will in any case be fully vested on the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| January 29, 2025 Filed Jan 31, 2025 23:05 UTC | TriSalus Life Sciences, Inc. TLSI · Entity 5872 | GrantDirector Stock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $4.89 | $0.00 |
DisclosureSEC source: 0001415889-25-002546 · form4-01312025_110111.xml · derivative · entry 1 Gordon Gary B. · CIK 0001811354 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2035-01-28 F1 · derivative.exercise_date: The shares subject to this stock option vest in three equal annual installments from the vesting commencement date of January 29, 2025, subject to the Reporting Person's continued service with the Issuer on each respective vesting date. Read SEC document |
| January 19, 2023 Filed Jan 24, 2023 02:00 UTC | Old Ayala, Inc AYLA · Entity 108681 | Disposition to issuerStock Option (right to buy) · Derivative | 31,950 | Not disclosed Strike: $9.11 | Not disclosed |
DisclosureSEC source: 0001213900-23-004542 · ownership.xml · derivative · entry 4 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,950 shares Expires 2032-01-02 F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F3 · shares: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F3 · price: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F6 · derivative.exercise_date: This option vests or vested and becomes or became exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 3, 2026. Read SEC document |
| January 19, 2023 Filed Jan 24, 2023 02:00 UTC | Old Ayala, Inc AYLA · Entity 108681 | Disposition to issuerStock Option (right to buy) · Derivative | 19,170 | Not disclosed Strike: $11.26 | Not disclosed |
DisclosureSEC source: 0001213900-23-004542 · ownership.xml · derivative · entry 3 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,170 shares Expires 2031-01-03 F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F3 · shares: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F3 · price: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F5 · derivative.exercise_date: This option vests or vested and becomes or became exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 4, 2025. Read SEC document |
| January 19, 2023 Filed Jan 24, 2023 02:00 UTC | Old Ayala, Inc AYLA · Entity 108681 | Disposition to issuerStock Option (right to buy) · Derivative | 89,000 | Not disclosed Strike: $5.16 | Not disclosed |
DisclosureSEC source: 0001213900-23-004542 · ownership.xml · derivative · entry 2 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 89,000 shares Expires 2029-09-19 F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F3 · shares: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F3 · price: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F4 · derivative.exercise_date: This option vests or vested and becomes or became exercisable as to 17,750 of the underlying shares of common stock on August 1, 2020 and as to the remainder of the shares in 12 equal quarterly installments thereafter. Read SEC document |
| January 19, 2023 Filed Jan 24, 2023 02:00 UTC | Old Ayala, Inc AYLA · Entity 108681 | Disposition to issuerCommon Stock | 58,520 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-004542 · ownership.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), including restricted stock, was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F2 · shares: All Ayala restricted stock awards that were outstanding immediately prior to the effective time of the merger were substituted and converted automatically into the right to receive a number of shares of restricted Advaxis Common Stock equal to the Exchange Ratio, subject to the terms and conditions applicable to the corresponding Ayala restricted stock awards. These shares consist of two grants of restricted stock which vest or vested as follows: (i) 8,520 shares granted on January 4, 2021 vesting quarterly over four years; and (ii) 50,000 shares granted on May 16, 2022 vesting quarterly over three years. F2 · price: All Ayala restricted stock awards that were outstanding immediately prior to the effective time of the merger were substituted and converted automatically into the right to receive a number of shares of restricted Advaxis Common Stock equal to the Exchange Ratio, subject to the terms and conditions applicable to the corresponding Ayala restricted stock awards. These shares consist of two grants of restricted stock which vest or vested as follows: (i) 8,520 shares granted on January 4, 2021 vesting quarterly over four years; and (ii) 50,000 shares granted on May 16, 2022 vesting quarterly over three years. Read SEC document |
| May 16, 2022 Filed May 16, 2022 20:10 UTC | Old Ayala, Inc AYLA · Entity 108681 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-018134 · doc4.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,520 F1 · shares: Represents an award of restricted common stock, which will vest quarterly over a period of three years from May 16, 2022. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:05 UTC | Old Ayala, Inc AYLA · Entity 108681 | GrantStock Option · Derivative | 31,950 | $0.00 Strike: $9.11 | $0.00 |
DisclosureSEC source: 0000899243-22-000879 · doc4.xml · derivative · entry 1 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,950 Underlying: Common Stock · 31,950 shares Expires 2032-01-02 F1 · derivative.exercise_date: This option vests and becomes exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 3, 2026. Read SEC document |
| February 24, 2021 Filed Feb 26, 2021 22:47 UTC | Old Ayala, Inc AYLA · Entity 108681 | Exercise / conversionStock Option · Derivative | 3,000 | $0.00 Strike: $5.16 | $0.00 |
DisclosureSEC source: 0000899243-21-008447 · doc4.xml · derivative · entry 3 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,000 Underlying: Common Stock · 3,000 shares Expires 2029-09-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option vested and became exercisable as to 25% of the underlying shares of common stock on August 1, 2020 and will become vested and exercisable as to the remainder of the shares in 12 equal quarterly installments thereafter. Read SEC document |
| February 24, 2021 Filed Feb 26, 2021 22:47 UTC | Old Ayala, Inc AYLA · Entity 108681 | SaleCommon Stock | 3,000 | $17.46 | $52,385.10 |
DisclosureSEC source: 0000899243-21-008447 · doc4.xml · nonDerivative · entry 2 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,520 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| February 24, 2021 Filed Feb 26, 2021 22:47 UTC | Old Ayala, Inc AYLA · Entity 108681 | Exercise / conversionCommon Stock | 3,000 | $5.16 | $15,480.00 |
DisclosureSEC source: 0000899243-21-008447 · doc4.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,520 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 20, 2021 Filed Jan 22, 2021 21:05 UTC | Old Ayala, Inc AYLA · Entity 108681 | Exercise / conversionStock Option · Derivative | 3,000 | $0.00 Strike: $5.16 | $0.00 |
DisclosureSEC source: 0000899243-21-002906 · doc4.xml · derivative · entry 3 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,000 Underlying: Common Stock · 3,000 shares Expires 2029-09-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option vested and became exercisable as to 25% of the underlying shares of common stock on August 1, 2020 and will become vested and exercisable as to the remainder of the shares in 12 equal quarterly installments thereafter. Read SEC document |
| January 20, 2021 Filed Jan 22, 2021 21:05 UTC | Old Ayala, Inc AYLA · Entity 108681 | SaleCommon Stock | 3,000 | $15.03 | $45,083.70 |
DisclosureSEC source: 0000899243-21-002906 · doc4.xml · nonDerivative · entry 2 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,520 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| January 20, 2021 Filed Jan 22, 2021 21:05 UTC | Old Ayala, Inc AYLA · Entity 108681 | Exercise / conversionCommon Stock | 3,000 | $5.16 | $15,480.00 |
DisclosureSEC source: 0000899243-21-002906 · doc4.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,520 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 21:05 UTC | Old Ayala, Inc AYLA · Entity 108681 | GrantStock Option · Derivative | 19,170 | $0.00 Strike: $11.26 | $0.00 |
DisclosureSEC source: 0000899243-21-000682 · doc4.xml · derivative · entry 2 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,170 Underlying: Common Stock · 19,170 shares Expires 2031-01-03 F1 · derivative.exercise_date: This option vests and becomes exercisable in sixteen substantially equal quarterly installments following the grant date, such that the option shall be fully vested on January 4, 2025. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 21:05 UTC | Old Ayala, Inc AYLA · Entity 108681 | GrantCommon Stock | 8,520 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-000682 · doc4.xml · nonDerivative · entry 1 Gordon Gary B. · CIK 0001811354 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,520 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.