Seelos Therapeutics, Inc.
US ˙ OTCPK

Introduction

This page provides a comprehensive analysis of the known insider trading history of Daniel O'Connor. Insiders are officers, directors, or significant investors in a company. It is illegal for insiders to make trades in their companies based on specific, non-public information. This does not mean it is illegal for them to make any trades in their own companies. However, they must report all trades to the SEC via a Form 4. Despite these restrictions, academic research suggests that insiders - in general - tend to outperform the market in their own companies.

Average Trade Profitability

The average trade profitability is the average return of all the open market purchases made by the insider in the last three years. To calculate this, we examine every open-market, unplanned purchase made by the insider, excluding all trades that were marked as part of a 10b5-1 trading plan. We then calculate the average performance of those trades over 3, 6, and 12 months, averaging each of those durations to generate a final performance metric for each trade. Finally, we average all of the performance metrics to calculate a performance metric for the insider. This list only includes insiders that have made at least three trades in the last two years.

If this insiders trade profitability is "N/A", then the insider either has not made any open-market purchases in the last three years, or the trades they’ve made are too recent to calculate a reliable performance metric.

Update Frequency: Daily

See the list of most profitable insider traders.

Companies with Reported Insider Positions

The SEC filings indicate Daniel O'Connor has reported holdings or trades in the following companies:

Security Title Latest Reported Holdings
President and CEO, Director 0
US:AMAM / Ambrx Biopharma Inc. President and CEO, Director 2,750,000
US:ZVSA / ZyVersa Therapeutics, Inc. Director, 10% Owner 1,377,598
US:SEEL / Seelos Therapeutics, Inc. Director 16,000
US:ONCS / OncoSec Medical Inc CEO and President, Director 96,097
US:ADXS / Ayala Pharmaceuticals, Inc. Chief Executive Officer, Director 618,352
How to Interpret the Charts

The following charts show the stock performance of securities subsequent to each open-market, non-planned trade made by Daniel O'Connor. Non-planned trade are trades that were not made as part of a 10b5-1 trading plan. The stock performance is charted as cumulative percent change in share price. For example, if an insider trade was made on January 1, 2019, the chart will show the daily percent change of the security to the present day. If the share price were to go from $10 to $15 during this time, the cumulative percent change in share price would be 50%. A change in price from $10 to $20 would be 100%, and a change in price of $10 to $5 would be -50%.

Ultimately, we are trying to determine how closely the insider’s trades correlate to excess returns (positive or negative) in the share price in order to see if the insider is timing their trades to profit from insider information. Consider the situation where an insider was doing this. In this situation, we would expect either (a) positive returns after purchases, or (b) negative returns after sales. In the case of (a), the PURCHASE chart would show a series of upwardly sloping curves, indicating positive returns after each purchase transaction. In the case of (b), the SALE chart would show a series of downward sloping curves, indicating negative returns after each sale transaction.

However, this alone is not enough to draw conclusions. If, for example, the share price of the company was in a non-cyclical climb over many years, then we would expect all the post-purchase plots to be upwardly sloping. Likewise, non-cyclical declines over many years would result in downward sloping post-trade plots. Neither of these charts would suggest insider trading activity.

The strongest indicator would be a situation where the share price was extremely cyclical, and there were both positive signals in the PURCHASE chart and negative plots on the SALE chart. This situation would be highly suggestive of an insider that was timing trades to their financial advantage.

Insider Purchases SEELQ / Seelos Therapeutics, Inc. - Short Term Profit Analysis

In this section, we analyze the profitability of every unplanned, open-market insider purchase made in SEELQ / Seelos Therapeutics, Inc.. This analysis helps to understand if the insider consistently generates abnormal returns, and is worth following. This analysis is for one-year following each trade, and the results are theoretical.

The following table shows the most recent open market purchases that were not part of an automatic trading plan.

Trade Date Ticker Insider Reported
Shares
Reported
Price
Adjusted
Shares
Adjusted
Price
Cost Basis Days to
Max
Price at
Max
Max
Profit ($)
Max Return (%)
2022-06-01 SEEL O'Connor Daniel 16,000 0.6118 889 11.0124 9,789 104 338.4 290,711 2,970.08

Adjusted Price is the split-adjusted price. Adjusted Shares is the split-adjusted shares.

SEELQ / Seelos Therapeutics, Inc. Insider Trades
Insider Sales SEELQ / Seelos Therapeutics, Inc. - Short Term Loss Analysis

In this section, we analyze the short-term loss avoidance of every unplanned, open-market insider sale made in SEELQ / Seelos Therapeutics, Inc.. A consistent pattern of loss avoidance may suggest that future sale transactions may predict declines in price. This analysis is for one-year following each trade, and the results are theoretical.

The following table shows the most recent open market sales that were not part of an automatic trading plan.

Trade Date Ticker Insider Reported
Shares
Reported
Price
Adjusted
Shares
Adjusted
Price
Cost Basis Days to
Min
Price at
Min
Max Loss
Avoided ($)
Max Loss
Avoided (%)
There are no known unplanned open-market trades for this insider and security combination

Adjusted Price is the split-adjusted price. Adjusted Shares is the split-adjusted shares.

SEELQ / Seelos Therapeutics, Inc. Insider Trades
Insider Trading History

This table shows the complete list of insider trades made by Daniel O'Connor as disclosed to the Securities Exchange Commission (SEC).

File Date Tran Date Form Ticker Security Code 10b5-1 Shares Remaining Shares Percent
Change
Share
Price
Tran
Value
Remaining
Value
2024-03-07 2024-03-07 4 AMAM Ambrx Biopharma, Inc.
Common Stock
D - Sale to Issuer -48,202 0 -100.00
2023-12-11 2023-12-11 4 AMAM Ambrx Biopharma, Inc.
Common Stock
A - Award 750,000 1,363,332 122.28
2023-10-31 2023-10-27 4 AMAM Ambrx Biopharma, Inc.
Common Stock
S - Sale X -50,012 342,845 -12.73 9.82 -491,118 3,366,738
2023-04-28 2023-04-26 4 AMAM Ambrx Biopharma Inc.
Ordinary Shares
A - Award 2,750,000 2,750,000
2022-12-14 2022-12-12 4 ZVSA ZyVersa Therapeutics, Inc.
Common Stock
J - Other 1,377,598 1,377,598
2022-06-02 2022-06-01 4 SEEL SEELOS THERAPEUTICS, INC.
Common Stock
P - Purchase 16,000 16,000 0.61 9,789 9,789
2022-03-10 2022-01-06 4 LSPR Larkspur Health Acquisition Corp.
Class B common stock
J - Other 609 201,848 0.30
2022-03-10 2022-01-06 4 LSPR Larkspur Health Acquisition Corp.
Class B common stock
J - Other -23,404 201,239 -10.42
2022-03-10 2022-01-06 4 LSPR Larkspur Health Acquisition Corp.
Class A Common Stock
J - Other 42,005 42,005
2022-01-06 2022-01-05 4 SEEL SEELOS THERAPEUTICS, INC.
Stock Option (right to buy)
A - Award 35,000 35,000
2021-05-04 2021-04-30 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
S - Sale -3,172 96,097 -3.20 4.86 -15,416 467,031
2021-02-02 2021-02-01 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
S - Sale -3,413 99,269 -3.32 7.71 -26,314 765,364
2021-01-08 2021-01-06 4 SEEL SEELOS THERAPEUTICS, INC.
Stock Option (right to buy)
A - Award 16,000 16,000
2020-11-03 2020-11-02 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
S - Sale -3,280 102,682 -3.10 3.79 -12,431 389,165
2020-08-26 2020-08-24 4 ONCS ONCOSEC MEDICAL Inc
Stock Option (Right to Buy)
A - Award 152,000 152,000
2020-08-04 2020-07-31 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
S - Sale -3,133 105,962 -2.87 4.20 -13,159 445,040
2020-06-03 2020-05-29 4 ONCS ONCOSEC MEDICAL Inc
Stock Option (Right to Buy)
A - Award 304,000 304,000
2020-06-03 2020-05-29 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
F - Taxes -44,471 109,095 -28.96 2.23 -99,170 243,282
2020-06-03 2020-05-29 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
A - Award 90,580 153,566 143.81
2020-05-04 2020-04-30 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
S - Sale -3,075 62,986 -4.65 1.79 -5,504 112,745
2020-02-03 2020-01-31 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
S - Sale -2,654 66,061 -3.86 1.96 -5,202 129,480
2020-01-07 2020-01-06 4 SEEL SEELOS THERAPEUTICS, INC.
Stock Option (right to buy)
A - Award 16,000 16,000
2019-11-01 2019-10-31 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
S - Sale -2,128 68,715 -3.00 2.16 -4,596 148,424
2019-08-02 2019-07-31 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
F - Taxes -2,156 70,843 -2.95 2.23 -4,808 157,980
2019-05-02 2019-04-30 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
F - Taxes -21,357 729,992 -2.84 0.56 -12,067 412,445
2019-03-21 2019-03-20 4 SEEL SEELOS THERAPEUTICS, INC.
Stock Option (right to buy)
A - Award 16,000 16,000
2019-03-21 2019-03-20 4 SEEL SEELOS THERAPEUTICS, INC.
Stock Option (right to buy)
A - Award 24,000 24,000
2019-02-01 2019-01-31 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
F - Taxes -25,318 751,349 -3.26 0.88 -22,280 661,187
2018-12-27 2018-12-24 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
A - Award 750,000 776,667 2,812.46
2018-11-07 2018-11-07 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
P - Purchase 10,000 26,667 60.00 0.91 9,100 24,267
2018-05-07 2018-05-03 4 ONCS ONCOSEC MEDICAL Inc
Stock Option (Right to Buy)
A - Award 250,000 2,850,000 9.62 1.47 367,500 4,189,500
2018-02-06 2018-02-05 4 ONCS ONCOSEC MEDICAL Inc
Common Stock
P - Purchase 16,667 16,667 1.50 25,000 25,000
2018-01-17 2018-01-12 4 ONCS ONCOSEC MEDICAL Inc
Stock Option (Right to Buy)
A - Award 500,000 500,000
2018-01-17 2018-01-12 4 ONCS ONCOSEC MEDICAL Inc
Stock Option (Right to Buy)
A - Award 2,000,000 2,000,000
2017-09-11 2017-09-07 4 ONCS ONCOSEC MEDICAL Inc
Stock Option (Right to Buy)
A - Award 100,000 100,000
2017-07-03 2017-06-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 742 618,352 0.12 6.49 4,816 4,013,104
2017-06-20 2017-06-19 4 ADXS Advaxis, Inc.
Common Stock
A - Award 177,102 617,610 40.20
2017-06-01 2017-05-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 421 440,508 0.10 8.07 3,397 3,554,900
2017-05-01 2017-05-01 4 ADXS Advaxis, Inc.
Common Stock
A - Award 142,996 440,087 48.13
2017-05-01 2017-04-28 4 ADXS Advaxis, Inc.
Common Stock
A - Award 349 297,091 0.12 8.56 2,987 2,543,099
2017-04-03 2017-03-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 365 296,742 0.12 8.17 2,982 2,424,382
2017-03-01 2017-02-28 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -104 296,377 -0.04 8.79 -914 2,605,154
2017-03-01 2017-02-28 4 ADXS Advaxis, Inc.
Common Stock
A - Award 490 296,481 0.17 8.79 4,307 2,606,068
2017-02-02 2017-01-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -97 295,991 -0.03 8.96 -869 2,652,079
2017-02-02 2017-01-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 466 296,088 0.16 8.96 4,175 2,652,948
2017-01-03 2016-12-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -192 295,622 -0.06 7.16 -1,375 2,116,654
2017-01-03 2016-12-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 792 295,814 0.27 7.16 5,671 2,118,028
2016-12-01 2016-11-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -89 295,022 -0.03 8.31 -740 2,451,633
2016-12-01 2016-11-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 455 295,111 0.15 8.31 3,781 2,452,372
2016-11-07 2016-11-03 4 ADXS Advaxis, Inc.
Option
A - Award 170,234 170,234
2016-11-02 2016-11-02 4 ADXS Advaxis, Inc.
Common Stock
S - Sale -8,240 294,656 -2.72 8.32 -68,557 2,451,538
2016-11-02 2016-10-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -231 302,896 -0.08 8.09 -1,869 2,450,429
2016-11-02 2016-10-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 467 303,127 0.15 8.09 3,778 2,452,297
2016-10-04 2016-09-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -50 302,660 -0.02 10.69 -534 3,235,435
2016-10-04 2016-09-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 354 302,710 0.12 10.69 3,784 3,235,970
2016-09-01 2016-08-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -46 302,356 -0.02 11.53 -530 3,486,165
2016-09-01 2016-08-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 328 302,402 0.11 11.53 3,782 3,486,695
2016-08-01 2016-07-29 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -562 310,341 -0.18 8.34 -4,687 2,588,244
2016-08-01 2016-07-29 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,133 310,903 0.37 8.34 9,449 2,592,931
2016-07-01 2016-06-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -551 309,770 -0.18 8.09 -4,458 2,506,039
2016-07-01 2016-06-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,752 310,321 0.57 8.09 14,174 2,510,497
2016-06-01 2016-05-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -268 308,569 -0.09 9.26 -2,482 2,857,349
2016-06-01 2016-05-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,020 308,837 0.33 9.26 9,445 2,859,831
2016-05-02 2016-05-02 4 ADXS Advaxis, Inc.
Common Stock
S - Sale -8,237 307,817 -2.61 7.51 -61,860 2,311,706
2016-05-02 2016-04-29 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -607 316,054 -0.19 7.74 -4,698 2,446,258
2016-05-02 2016-04-29 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,221 316,661 0.39 7.74 9,451 2,450,956
2016-04-01 2016-03-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -275 315,440 -0.09 9.03 -2,483 2,848,423
2016-04-01 2016-03-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,046 315,715 0.33 9.03 9,445 2,850,906
2016-03-01 2016-02-29 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -455 314,669 -0.14 5.46 -2,484 1,718,093
2016-03-01 2016-02-29 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,730 315,124 0.55 5.46 9,446 1,720,577
2016-02-01 2016-01-29 4 ADXS Advaxis, Inc.
Common Stock
S - Sale -8,818 313,394 -2.74 6.88 -60,668 2,156,151
2016-02-01 2016-01-29 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -688 322,212 -0.21 6.82 -4,692 2,197,486
2016-02-01 2016-01-29 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,300 322,900 0.40 6.82 8,866 2,202,178
2016-01-04 2015-12-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -296 332,953 -0.09 10.06 -2,978 3,349,507
2016-01-04 2015-12-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,061 333,249 0.32 10.06 10,674 3,352,485
2015-12-01 2015-11-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -133 332,190 -0.04 12.07 -1,605 4,009,533
2015-12-01 2015-11-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 590 332,323 0.18 12.07 7,121 4,011,139
2015-11-06 2015-11-05 4 ADXS Advaxis, Inc.
Options
A - Award 450,000 450,000
2015-11-03 2015-10-30 4 ADXS Advaxis, Inc.
Common Stock
S - Sale -8,350 331,733 -2.46 12.26 -102,371 4,067,047
2015-11-03 2015-10-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -321 340,083 -0.09 11.09 -3,560 3,771,520
2015-11-03 2015-10-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 641 340,404 0.19 11.09 7,109 3,775,080
2015-10-01 2015-09-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -159 339,763 -0.05 10.23 -1,627 3,475,775
2015-10-01 2015-09-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 695 339,922 0.20 10.23 7,110 3,477,402
2015-09-02 2015-08-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -109 339,227 -0.03 14.80 -1,613 5,020,560
2015-09-02 2015-08-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 480 339,336 0.14 14.80 7,104 5,022,173
2015-08-04 2015-07-31 4 ADXS Advaxis, Inc.
Common Stock
S - Sale -8,449 338,856 -2.43 15.44 -130,453 5,231,937
2015-08-04 2015-07-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -325 347,305 -0.09 16.66 -5,414 5,786,101
2015-08-04 2015-07-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 640 347,630 0.18 16.66 10,662 5,791,516
2015-07-01 2015-06-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -8 346,990 0.00 20.33 -163 7,054,307
2015-07-01 2015-06-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 349 346,998 0.10 20.33 7,095 7,054,469
2015-06-02 2015-05-29 4 ADXS Advaxis, Inc.
Common Stock
A - Award 282 358,048 0.08 25.16 7,095 9,008,488
2015-05-01 2015-04-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 413 357,766 0.12 16.81 6,943 6,014,046
2015-04-01 2015-03-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 461 357,353 0.13 14.44 6,657 5,160,177
2015-04-01 2015-03-30 4 ADXS Advaxis, Inc.
Options
A - Award 670,000 670,000
2015-03-02 2015-02-27 4 ADXS Advaxis, Inc.
Common Stock
A - Award 740 356,892 0.21 9.00 6,660 3,212,028
2015-02-04 2015-01-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 994 356,152 0.28 9.85 9,791 3,508,097
2015-02-04 2014-12-10 4 ADXS Advaxis, Inc.
Common Stock
A - Award 51,239 355,158 16.86
2015-01-02 2014-12-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 780 303,919 0.26 8.01 6,248 2,434,391
2014-12-01 2014-11-28 4 ADXS Advaxis, Inc.
Common Stock
A - Award 2,003 303,139 0.67 3.12 6,249 945,794
2014-11-03 2014-10-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,967 301,136 0.66 3.18 6,255 957,612
2014-10-01 2014-09-30 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -397 299,169 -0.13 3.36 -1,334 1,005,208
2014-10-01 2014-09-30 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,860 299,566 0.62 3.36 6,250 1,006,542
2014-09-02 2014-08-29 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -343 297,706 -0.12 3.88 -1,331 1,155,099
2014-09-02 2014-08-29 4 ADXS Advaxis, Inc.
Common Stock
A - Award 1,610 298,049 0.54 3.88 6,247 1,156,430
2014-08-01 2014-08-01 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -873 296,439 -0.29 2.84 -2,479 841,887
2014-08-01 2014-08-01 4 ADXS Advaxis, Inc.
Common Stock
A - Award 3,301 297,312 1.12 2.84 9,375 844,366
2014-08-01 2014-08-01 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -7,826 294,011 -2.59 4.03 -31,539 1,184,864
2014-07-18 2014-07-17 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -16,468 301,837 -5.17 4.03 -66,366 1,216,403
2014-07-01 2014-07-01 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -1,198 318,305 -0.37 3.15 -3,774 1,002,661
2014-07-01 2014-07-01 4 ADXS Advaxis, Inc.
Common Stock
A - Award 3,968 319,503 1.26
2014-05-02 2014-05-01 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -2,374 315,535 -0.75 2.72 -6,457 858,255
2014-05-02 2014-05-01 4 ADXS Advaxis, Inc.
Common Stock
A - Award 6,893 317,909 2.22
2014-04-02 2014-03-31 4 ADXS Advaxis, Inc.
Common Stock
P - Purchase 3,333 311,016 1.08 3.00 9,999 933,048
2014-02-04 2014-01-31 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -552 314,349 -0.18 4.49 -2,478 1,411,427
2014-02-04 2014-01-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 2,088 314,902 0.67
2014-01-09 2014-01-07 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -18,160 312,814 -5.49 4.03 -73,185 1,260,640
2014-01-09 2014-01-07 4 ADXS Advaxis, Inc.
Common Stock
A - Award 200,000 330,974 152.70
2014-01-09 2014-01-07 4 ADXS Advaxis, Inc.
Common Stock
A - Award 50,000 130,974 61.75
2014-01-09 2014-01-07 4 ADXS Advaxis, Inc.
Common Stock
F - Taxes -4,073 80,974 -4.79 4.03 -16,414 326,325
2014-01-09 2014-01-07 4 ADXS Advaxis, Inc.
Common Stock
A - Award 10,825 85,048 14.58
2014-01-03 2013-12-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 7,485 74,223 11.22 3.70 27,694 274,625
2013-11-12 2013-10-31 4 ADXS Advaxis, Inc.
Common Stock
A - Award 4,138 66,738 6.61 4.43 18,331 295,649
2013-11-12 2013-09-30 4/A ADXS Advaxis, Inc.
Common Stock
A - Award 666 49,099 1.38 5.62 3,746 276,182
2013-11-12 2013-08-31 4/A ADXS Advaxis, Inc.
Common Stock
A - Award 597 45,840 1.32 3.10 1,851 142,104
2013-10-29 2013-10-24 4/A ADXS Advaxis, Inc.
Common stock
P - Purchase 13,500 61,336 28.22 4.00 54,000 245,344
2013-10-29 2013-09-30 4/A ADXS Advaxis, Inc.
Common stock
A - Award 2,593 47,836 5.73 5.62 14,573 268,838
2013-10-29 2013-08-31 4/A ADXS Advaxis, Inc.
Common stock
A - Award 4,704 45,243 11.60 3.10 14,582 140,253
2013-10-29 2013-07-31 4/A ADXS Advaxis, Inc.
Common stock
A - Award 3,439 40,539 9.27 4.24 14,581 171,885
2013-10-29 2013-06-30 4/A ADXS Advaxis, Inc.
Common stock
A - Award 2,917 37,100 8.53 5.00 14,585 185,500
2013-10-29 2013-05-31 4/A ADXS Advaxis, Inc.
Common stock
A - Award 2,381 34,183 7.49 6.12 14,572 209,200
2013-10-29 2013-05-20 4/A ADXS Advaxis, Inc.
Common stock
C - Conversion 21,091 31,802 196.91 3.16 66,648 100,494
2013-10-29 2013-04-30 4/A ADXS Advaxis, Inc.
Common stock
A - Award 1,440 10,711 15.53 10.12 14,573 108,395
2013-10-29 2013-03-31 4/A ADXS Advaxis, Inc.
Common stock
A - Award 1,240 9,271 15.44 11.75 14,570 108,934
2013-10-29 2013-02-28 4/A ADXS Advaxis, Inc.
Common stock
A - Award 1,090 8,031 15.70 13.37 14,573 107,374
2013-10-29 2013-01-31 4/A ADXS Advaxis, Inc.
Common stock
A - Award 2,061 6,941 42.23 7.12 14,674 49,420
2013-10-29 3/A ADXS Advaxis, Inc.
Common Stock
4,880
2013-10-28 2013-10-24 4 ADXS Advaxis, Inc.
Common Stock Warrants
P - Purchase 6,750 6,750 0.00 7 7
2013-10-28 2013-10-24 4 ADXS Advaxis, Inc.
Common Stock
P - Purchase 13,500 61,256 28.27 4.00 54,000 245,024
2013-07-10 2013-05-20 4 ADXS Advaxis, Inc.
Convertible Promissory Note
C - Conversion 0
2013-07-10 2013-05-20 4 ADXS Advaxis, Inc.
Common Stock
C - Conversion 2,636,401 3,719,734 243.36 0.03 66,701 94,109
2013-07-10 2013-03-14 4 ADXS Advaxis, Inc.
Option
A - Award 1,000,000 1,000,000
2013-01-07 2013-01-03 4 ADXS Advaxis, Inc.
Option
A - Award 1,000,000 1,000,000
2013-01-07 3 ADXS Advaxis, Inc.
Common Stock
10,000
P
Open market or private purchase of non-derivative or derivative security
S
Open market or private sale of non-derivative or derivative security
A
Grant, award, or other acquisition of securities from the company (such as an option)
C
Conversion of derivative
D
Sale or transfer of securities back to the company
F
Payment of exercise price or tax liability using portion of securities received from the company
G
Gift of securities by or to the insider
K
Equity swaps and similar hedging transactions
M
Exercise or conversion of derivative security received from the company (such as an option)
V
A transaction voluntarily reported on Form 4
J
Other (accompanied by a footnote describing the transaction)