| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ADXS | Rights | Options Exercise | -3.75M | -47.85% | 4.09M | Mar 1, 2024 | Common Stock | 3.75M | $0.40 | See footnote | F1, F2 | ||
| transaction | ADXS | Rights | Options Exercise | -3.75M | -27.86% | 9.71M | Mar 1, 2024 | Common Stock | 3.75M | $0.40 | See footnote | F1, F3 | ||
| transaction | ADXS | Convertible Promissory Note | Options Exercise | +1.5M | +36.7% | 5.59M | Mar 1, 2024 | Common Stock | 1.5M | $0.40 | See footnote | F1, F2, F4 | ||
| transaction | ADXS | Convertible Promissory Note | Options Exercise | +1.5M | +15.44% | 11.2M | Mar 1, 2024 | Common Stock | 1.5M | $0.40 | See footnote | F1, F3, F4 | ||
| transaction | ADXS | Warrants | Options Exercise | +2.25M | +40.27% | 7.84M | Mar 1, 2024 | Common Stock | 2.25M | $0.40 | See footnote | F1, F2, F4 | ||
| transaction | ADXS | Warrants | Options Exercise | +2.25M | +20.07% | 13.5M | Mar 1, 2024 | Common Stock | 2.25M | $0.40 | See footnote | F1, F3, F4 |
| Id | Content |
|---|---|
| F1 | As more fully described in a Schedule 13D/A and Form 4 filed by the Reporting Persons on 11/21/2023, on 11/17/2023, Issuer, Israel Biotech Fund I, L.P. ("IBF 1"), IBF II Israel Biotech Fund II, L.P. ("IBF 2") and others entered into a Side Letter Agreement (New Notes) (the "SLA") pursuant to which, among other things, IBF I and IBF II received rights ("Rights") to purchase senior convertible promissory notes and, in connection therewith, warrants on the terms set forth therein. As described in the Form 8-K filed by the Issuer on 03/05/2024, IBF I and IBF II exercised part of the Rights and Issuer issued to each of IBF I and IBF II (i) senior convertible promissory notes, dated 03/01/2024, with a principal amount of $600,000, at an initial conversion price of $0.40 ("Notes"), and (ii) warrants, dated 03/01/2024, to purchase 2,250,000 shares of Common Stock, at an exercise price of $0.40 per share, subject to adjustments ("Warrants"). |
| F2 | The reported securities in this row are held of record by IBF 1. Israel Biotech Fund GP Partners, L.P. ("IBF I GP"), a Cayman Islands Exempted Limited Partnership, is the general partner of IBF 1. I.B.F Management Ltd. ("IBF Management"), an Israeli private company, is the management company of IBF I GP. By virtue of such relationships, IBF 1 GP and IBF Management may be deemed to have shared voting and investment power with respect to the securities held of record by IBF 1. Each of IBF 1 GP and IBF Management disclaims beneficial ownership of the securities held by IBF 1, except to the extent of their pecuniary interest therein, if any. |
| F3 | The reported securities in this row are held of record by IBF 2. Israel Biotech Fund GP Partners II, L.P. ("IBF II GP"), a Cayman Islands Exempted Limited Partnership, is the general partner of IBF 2. IBF Management is the management company of IBF 2 GP. By virtue of such relationships, IBF 2 GP and IBF Management may be deemed to have shared voting and investment power with respect to the securities held of record by IBF 2. Each of IBF 2 GP and IBF Management disclaims beneficial ownership of the securities held by IBF 2, except to the extent of their pecuniary interest therein, if any. |
| F4 | The remaining derivative securities reported in this row include the remaining Rights of IBF I and IBF II. |
For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the Reporting Persons may be deemed to be "directors by deputization" of the Issuer by virtue of their representatives on the Issuer's board of directors.