Form Type: 4

SEC EDGAR Link
Accession Number:0001493152-23-002245
Date:2023-01-19
Issuer: AYALA PHARMACEUTICALS, INC. (ADXS)
Original Submission Date:

Reporting Person:

GOLDBERG MURRAY A
9 DEER PARK DRIVE, SUITE K-1
MONMOUTH JUNCTION, NJ 08852

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION 27.21 2023-01-19 deemed execution date A 3,279 (a) 2028-03-20 common stock 3,279 $27.21 3,279 direct
STOCK OPTION 47.17 2023-01-19 deemed execution date A 2,342 (a) 2030-02-12 common stock 2,342 $47.17 2,342 direct
STOCK OPTION 55.23 2023-01-19 deemed execution date A 1,171 (a) 2031-06-09 common stock 1,171 $55.23 1,171 direct
STOCK OPTION 8.7 2023-01-19 deemed execution date A 1,171 (a) 2032-06-12 common stock 1,171 $8.70 1,171 direct
Footnotes
IDfootnote
f1 this option is fully vested and exercisable.
f2 received in the merger of ayala pharmaceuticals, inc. ("old ayala") into the issuer (the "merger") in exchange for an employee stock option to acquire 17,500 shares of the common stock of old ayala for $5.10 per share.
f3 received in the merger in exchange for an employee stock option to acquire 12,500 shares of the common stock of old ayala for $8.84 per share.
f4 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.
f5 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.
f6 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.
WhaleWisdom Logo

Elevate your investments