Bisker-Leib Vered

SEC source: 0001171843-24-000715 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,124,426

F1 · kind: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs")

F2 · balance_after: 300,000 of the shares represents unvested restricted stock units ("RSU") granted on November 16, 2021. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 16, 2022. 300,000 of the shares represents unvested restricted stock units ("RSU") granted on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on February 8, 2024. 1,753,125 of the shares represents unvested restricted stock units ("RSU") granted on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on January 9, 2025.

SEC source: 0001171843-24-000179 · ownership.xml · derivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,753,125

Underlying: CommonStock · 1,753,125 shares

Expires 2034-01-08

F3 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting February 9, 2024.

SEC source: 0001171843-24-000179 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,173,624

F1 · shares: Represents restricted stock units ("RSU") granted to the reporting person on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on January 9, 2025.

F2 · balance_after: 300,000 of the shares represents unvested restricted stock units ("RSU") granted on November 16, 2021. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022. 400,000 of the shares represents unvested restricted stock units ("RSU") granted on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on February 8, 2024. 1,753,125 of the shares represents unvested restricted stock units ("RSU") granted on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on January 9, 2025.

SEC source: 0001171843-23-007223 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,420,499

F1 · kind: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs")

F2 · balance_after: 8,148 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which will vest on November 30 and December 31, 2023. 300,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 400,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

SEC source: 0001171843-23-000846 · ownership.xml · derivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2033-02-07

F3 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

SEC source: 0001171843-23-000846 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,484,914

F1 · shares: Represents restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on February 8, 2024.

F2 · balance_after: 60,981 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 16,163 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 44,818 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 400,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

SEC source: 0001213900-23-004538 · ownership.xml · derivative · entry 3

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 shares

Expires 2032-06-12

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"), 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: 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 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.

F2 · 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 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 and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Company's 2023 annual meeting of shareholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

SEC source: 0001213900-23-004538 · ownership.xml · derivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 shares

Expires 2031-06-09

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"), 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: 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 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.

F2 · 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 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 is fully vested and exercisable.

SEC source: 0001213900-23-004538 · ownership.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,750 shares

Expires 2030-08-17

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"), 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: 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 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.

F2 · 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 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 · derivative.exercise_date: This option vests or vested and becomes or became exercisable in thirty-six substantially equal monthly installments, such that the option shall be fully vested on August 18, 2023.

SEC source: 0001493152-23-002243 · ownership.xml · derivative · entry 3

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,171

Underlying: Common Stock · 1,171 shares

Expires 2032-06-12

F6 · price: Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $1.63 per share.

F5 · derivative.exercise_date: This option vests and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Issuer's 2023 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

SEC source: 0001493152-23-002243 · ownership.xml · derivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,171

Underlying: Common Stock · 1,171 shares

Expires 2031-06-09

F4 · price: Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $10.35 per share.

F3 · derivative.exercise_date: This option is fully vested and exercisable.

SEC source: 0001493152-23-002243 · ownership.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,639

Underlying: Common Stock · 1,639 shares

Expires 2030-08-17

F2 · price: Received in the merger of Ayala Pharmaceuticals, Inc. ("Old Ayala") into the Issuer (the "Merger") in exchange for an employee stock option to acquire 8,750 shares of the common stock of Old Ayala for $10.98 per share.

F1 · derivative.exercise_date: The option vests and becomes exercisable in thirty-six substantially equal monthly installments, such that the option shall be fully vested on August 18, 2023.

SEC source: 0001171843-22-007662 · ownership.xml · nonDerivative · entry 3

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,414

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

SEC source: 0001171843-22-007662 · ownership.xml · nonDerivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,416

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.10 to $4.30 per share on November 22, 2022 and $4.15 to $4.43 on November 23, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

SEC source: 0001171843-22-007662 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,069,985

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.10 to $4.30 per share on November 22, 2022 and $4.15 to $4.43 on November 23, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

SEC source: 0001171843-22-007635 · ownership.xml · nonDerivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,084,914

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.49 per share on November 18, 2022 and $4.30 to $4.44 on November 21, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

SEC source: 0001171843-22-007635 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,107,175

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.49 per share on November 18, 2022 and $4.30 to $4.44 on November 21, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

SEC source: 0000899243-22-022558 · doc4.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2032-06-12

F1 · derivative.exercise_date: This option vests and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Company's 2023 annual meeting of shareholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

SEC source: 0000899243-22-007413 · doc4a.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022.

SEC source: 0001171843-22-001210 · ownership.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-02-16

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022

SEC source: 0000899243-21-045309 · doc4.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,401

F1 · shares: Represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

SEC source: 0000899243-21-023602 · doc4.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2031-06-09

F1 · derivative.exercise_date: This option vests and becomes exercisable on the earlier of (i) June 10, 2022 or (ii) one day prior to the Company's 2022 annual meeting of shareholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

SEC source: 0001209191-21-015098 · doc4.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-02-09

F1 · derivative.exercise_date: 25% of this option vests on February 9, 2022, with the remainder vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0000899243-20-023029 · doc4.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common Stock · 8,750 shares

Expires 2030-08-17

F1 · derivative.exercise_date: The option vests and becomes exercisable in thirty-six substantially equal monthly installments, such that the option shall be fully vested on August 18, 2023.

SEC source: 0000899243-20-021969 · doc4.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2030-08-06

F1 · derivative.exercise_date: 33% of this option is immediately vested and exercisable, with the remainder vesting in 24 substantially equal monthly installments thereafter.