股本结构

单位:万股
公告日期 2021-06-14 2021-04-21 2021-04-21 2021-04-14 2021-03-16 2021-03-16
证券总股本 14563.85 13796.10 12038.27 13704.40 11946.66 11613.07
普通股本 14563.85 13796.10 12038.27 13704.40 11946.66 11613.07
优先股 未披露 未披露 未披露 未披露 未披露 未披露
其他 未披露 未披露 未披露 未披露 未披露 未披露
变动日期 2021-04-30 2021-04-15 2021-03-29 2021-04-14 2021-03-08 2021-01-31
注释:中概股证券总股本=普通股股本/ 存托凭证比例

历史变动

公告日期 变动后普通股本(万股) 变动后优先股(万股) 变动原因 变动日期
2021-06-14 14563.85 未披露
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From January 31, 2021 To April 30, 2021 Stock-based compensation Advaxis public offerings, net of offering costs Warrant exercises Issuance of shares to employees under ESPP Plan
2021-04-30
2021-04-21 13796.10 未披露 定期报告 2021-04-15
2021-04-14 13704.40 未披露
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1.Shares offered by the company 17,577,400 Shares. 2.The number of shares of common stock to be outstanding immediately after the offering is based on 119,466,620 shares of common stock outstanding as of March 8, 2021.
2021-04-14
2021-04-21 12038.27 未披露 定期报告 2021-03-29
2021-03-16 11946.66 未披露 定期报告 2021-03-08
2021-03-16 11613.07 未披露
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From October 31, 2020 to January 31, 2021 Advaxis public offerings, net of offering costs Warrant exercises
2021-01-31
2021-01-22 11197.17 未披露 定期报告 2021-01-15
2020-11-27 8938.16 未披露
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1.Common stock offered by the company 26,666,666 shares. 2.The number of shares of common stock to be outstanding immediately after this offering is based on 62,714,946 shares of common stock outstanding as of July 31, 2020.
2020-11-27
2021-01-22 7807.40 未披露
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From October 31, 2019 to October 31, 2020 Stock-based compensation Issuance of shares to employees under ESPP Plan Warrant exercises Shares issued in settlement of warrants Advaxis public offerings At-the-market shares issued Commitment fee shares issued for equity line Shares issued under equity line
2020-10-31
2020-09-10 6622.75 未披露 定期报告 2020-09-02
2020-09-10 6271.49 未披露
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From April 30, 2020 to July 31, 2020 Issuance of shares to employees under ESPP Plan At-the-market shares issued, net of offering costs Commitment fee shares issued for equity line
2020-07-31
2020-08-03 6163.16 未披露 定期报告 2020-07-29
2020-06-11 6160.76 未披露 定期报告 2020-06-11
2020-06-11 6025.24 未披露
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From January 31, 2020 to April 30, 2020 Stock based compensation Warrant exercises Issuance of shares to employees under ESPP Plan
2020-04-30
2020-03-20 6024.58 未披露 定期报告 2020-03-06
2020-03-13 6024.48 未披露 定期报告 2020-02-29
2020-03-13 6023.66 未披露
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from November 1, 2019 to January 31, 2020 Stock based compensation Advaxis public offerings Warrant exercises Issuance of shares to employees under ESPP Plan
2020-01-31
2020-01-23 6022.13 未披露
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1.Common stock offered by us 10,000,000 shares 2.The number of shares of common stock to be outstanding immediately after the offering is based on 50,221,263 shares of common stock outstanding as of January 7, 2020
2020-01-23
2020-01-21 5022.13 未披露 定期报告 2020-01-07
2019-12-20 5021.14 未披露 定期报告 2019-12-16
2019-12-20 5020.17 未披露
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from October 31, 2018 to October 31, 2019 Issuance of shares to employees under ESPP Plan Pre-funded warrant exercises Warrant exercises Warrant exchange Advaxis public offerings
2019-10-31
2019-09-09 2471.01 未披露 定期报告 2019-09-06
2019-09-09 1924.89 未披露
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from April 30, 2019 to July 31, 2019 Stock based compensation Issuance of shares to employees under ESPP Plan Shares issued in settlement of warrants Advaxis public offerings
2019-07-31
2019-07-25 1722.04 未披露 定期报告 2019-07-25
2019-07-24 802.08 未披露 定期报告 2019-06-01
2019-06-10 802.04 未披露
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From January 31, 2019 To April 30, 2019 Stock based compensation Issuance of shares to employees under ESPP Plan Warrant exercises Shares issued in settlement of warrants Advaxis public offerings
2019-04-30
2019-03-29 550.00 未披露
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Pursuant to such authority granted by the Company’s stockholders, the Company’s Board of Directors approved a one-for-fifteen reverse stock split (the “Reverse Stock Split”) of its common stock. The Reverse Stock Split became effective upon filing of the Amendment with the Secretary of State of the State of Delaware on March 29, 2019. The Reverse Stock Split reduced the number of shares of common stock issued and outstanding from approximately 82.6 million to approximately 5.5 million.
2019-03-29
2019-03-12 6974.35 未披露 定期报告 2019-02-28
2019-03-12 6973.43 未披露 定期报告 2019-01-31
2019-01-11 6970.32 未披露 定期报告 2018-12-31
2019-01-11 6961.99 未披露 定期报告 2018-12-26
2019-01-11 6955.65 未披露
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From October 31, 2017 To October 31, 2018 Stock based compensation Issuance of shares to employees under ESPP Plan Advaxis at-the-market sales Advaxis public offerings
2018-10-31
2018-09-10 5282.85 未披露 定期报告 2018-08-31
2018-08-23 5282.35 未披露 定期报告 2018-08-22
2018-09-10 5280.24 未披露 定期报告 2018-07-31
2018-06-07 5262.15 未披露 定期报告 2018-06-04
2018-06-07 5256.20 未披露 定期报告 2018-04-30
2018-03-12 5231.38 未披露 定期报告 2018-03-08
2018-03-12 4228.32 未披露 定期报告 2018-01-31
2018-02-06 4154.27 未披露 定期报告 2018-01-19
2017-12-21 4130.40 未披露 定期报告 2017-12-15
2017-12-21 4120.65 未披露
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From October 31, 2016 To October 31, 2017 Common stock issued upon exercise of warrants Issuance of shares to employees under ESPP Plan Advaxis at-the-market sales Stock based compensation
2017-10-31
2017-09-11 4106.58 未披露 定期报告 2017-08-31
2017-09-11 4099.63 未披露 定期报告 2017-07-31
2017-06-06 4046.27 未披露 定期报告 2017-06-02
2017-06-06 4039.65 未披露 定期报告 2017-04-30
2017-03-10 4029.54 未披露 定期报告 2017-03-07
2017-02-10 4012.20 未披露 定期报告 2017-02-06
2017-03-10 4018.67 未披露 定期报告 2017-01-31
2017-01-09 4014.71 未披露 定期报告 2017-01-05
2017-01-09 4004.10 未披露
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from October 31, 2015 to October 31, 2016 Treasury stock purchased to pay employee withholdings on equity awards Treasury shares sold to pay for employee tax withholdings on equity awards Common stock issued upon exercise of warrants Common stock issued to consultants Conversion of notes payable into common stock Issuance of shares to employees under ESPP Plan Advaxis registered direct offerings Sale of common shares to Amgen
2016-10-31
2016-09-08 3984.41 未披露 定期报告 2016-08-31
2016-09-08 3449.29 未披露 定期报告 2016-07-31
2016-06-08 3434.67 未披露 定期报告 2016-06-01
2016-06-08 3427.44 未披露 定期报告 2016-04-30
2016-02-26 3410.14 未披露 定期报告 2016-02-24
2016-02-26 3393.19 未披露 定期报告 2016-01-31
2016-02-11 3378.91 未披露 定期报告 2016-01-15
2016-01-08 3376.91 未披露 定期报告 2016-01-07
2016-01-08 3357.50 未披露
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from October 31, 2014 to October 31, 2015 Stock compensation to employees, directors and consultants Common Stock issued upon exercise of options Common Stock issued upon exercise of warrants Common Stock issued to consultants Conversion of notes payable into common stock Issuance of shares to employees under ESPP Plan Advaxis registered direct offerings Advaxis Public Offering Treasury stock purchased to pay employee withholdings on equity awards Treasury shares sold to pay for employee tax withhholdings on equity awards
2015-10-31
2015-09-11 3336.58 未披露 定期报告 2015-09-09
2015-09-11 3149.64 未披露 定期报告 2015-07-31
2015-06-15 3139.65 未披露 定期报告 2015-06-10
2015-06-15 2750.80 未披露 定期报告 2015-04-30
2015-04-17 2732.22 未披露 定期报告 2015-04-15
2015-04-07 2731.86 未披露 定期报告 2015-04-02
2015-03-13 2720.88 未披露 定期报告 2015-03-09
2015-03-13 2402.20 未披露 定期报告 2015-01-31
2015-01-06 2364.48 未披露 定期报告 2014-12-26
2015-01-06 1963.01 未披露
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from October 31, 2013 to October 31, 2014 Stock compensation to employees, directors and consultants Common Stock issued upon exercise of warrants Common Stock issued to consultants Issuance of shares to employees under ESPP Plan Issuance of shares to investors under stock purchase agreements Advaxis Public Offering
2014-10-31
2014-09-09 1951.84 未披露 定期报告 2014-09-02
2014-09-09 1951.47 未披露 定期报告 2014-07-31
2014-06-10 1927.41 未披露 定期报告 2014-06-03
2014-06-10 1910.26 未披露 定期报告 2014-04-30
2014-03-17 1401.63 未披露 定期报告 2014-03-13
2014-02-28 1401.26 未披露 定期报告 2014-02-26
2014-02-18 1390.39 未披露 定期报告 2014-02-13
2014-03-17 1400.95 未披露 定期报告 2014-01-31
2014-01-29 1387.22 未披露 定期报告 2014-01-17
2014-01-29 1371.99 未披露
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from October 31, 2012 to October 31, 2013 Issuance of shares upon conversion of convertible promissory notes Common stock issued upon exercise of warrants Common stock issued to consultants Issuance of shares to employees under ESPP Plan Issuance of shares to investors under stock purchase agreements Fractional shares cashed out Issuance of shares under Hanover Equity Line Issuance of shares under Ironridge Settlement Notice of Redemption and Settlement Agreement with Optimus Issuance of shares to Socius Brio Settlement Issuance of earned but not issued shares to former employees Partial conversion of Moore Notes Issuance of shares under exchange agreement with Redwood Issuance of shares under conversion agreement with JMJ Advaxis Public Offering
2013-10-31
2013-10-17 1178.60 未披露
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reflects a 1-for-125 reverse stock split of our issued and outstanding shares of common stock, options and warrants effected on July 12, 2013 and the corresponding adjustment of all common stock prices per share and stock option and warrant exercise prices per share.
2013-10-10
2013-09-16 502.41 未披露 定期报告 2013-09-06
2013-09-16 489.82 0.07
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on July 11, 2013, to effect a 1-for-125 reverse stock split of its outstanding common stock, par value $0.001 per share, to take effect on July 12, 2013 at 4:30 p.m. EDT
2013-07-31
2013-05-15 57346.89 0.07 定期报告 2013-04-30
2013-05-15 49341.56 0.07 定期报告 2013-01-31
From January 31, 2021 To April 30, 2021 Stock-based compensation Advaxis public offerings, net of offering costs Warrant exercises Issuance of shares to employees under ESPP Plan
1.Shares offered by the company 17,577,400 Shares. 2.The number of shares of common stock to be outstanding immediately after the offering is based on 119,466,620 shares of common stock outstanding as of March 8, 2021.
From October 31, 2020 to January 31, 2021 Advaxis public offerings, net of offering costs Warrant exercises
1.Common stock offered by the company 26,666,666 shares. 2.The number of shares of common stock to be outstanding immediately after this offering is based on 62,714,946 shares of common stock outstanding as of July 31, 2020.
From October 31, 2019 to October 31, 2020 Stock-based compensation Issuance of shares to employees under ESPP Plan Warrant exercises Shares issued in settlement of warrants Advaxis public offerings At-the-market shares issued Commitment fee shares issued for equity line Shares issued under equity line
From April 30, 2020 to July 31, 2020 Issuance of shares to employees under ESPP Plan At-the-market shares issued, net of offering costs Commitment fee shares issued for equity line
From January 31, 2020 to April 30, 2020 Stock based compensation Warrant exercises Issuance of shares to employees under ESPP Plan
from November 1, 2019 to January 31, 2020 Stock based compensation Advaxis public offerings Warrant exercises Issuance of shares to employees under ESPP Plan
1.Common stock offered by us 10,000,000 shares 2.The number of shares of common stock to be outstanding immediately after the offering is based on 50,221,263 shares of common stock outstanding as of January 7, 2020
from October 31, 2018 to October 31, 2019 Issuance of shares to employees under ESPP Plan Pre-funded warrant exercises Warrant exercises Warrant exchange Advaxis public offerings
from April 30, 2019 to July 31, 2019 Stock based compensation Issuance of shares to employees under ESPP Plan Shares issued in settlement of warrants Advaxis public offerings
From January 31, 2019 To April 30, 2019 Stock based compensation Issuance of shares to employees under ESPP Plan Warrant exercises Shares issued in settlement of warrants Advaxis public offerings
Pursuant to such authority granted by the Company’s stockholders, the Company’s Board of Directors approved a one-for-fifteen reverse stock split (the “Reverse Stock Split”) of its common stock. The Reverse Stock Split became effective upon filing of the Amendment with the Secretary of State of the State of Delaware on March 29, 2019. The Reverse Stock Split reduced the number of shares of common stock issued and outstanding from approximately 82.6 million to approximately 5.5 million.
From October 31, 2017 To October 31, 2018 Stock based compensation Issuance of shares to employees under ESPP Plan Advaxis at-the-market sales Advaxis public offerings
From October 31, 2016 To October 31, 2017 Common stock issued upon exercise of warrants Issuance of shares to employees under ESPP Plan Advaxis at-the-market sales Stock based compensation
from October 31, 2015 to October 31, 2016 Treasury stock purchased to pay employee withholdings on equity awards Treasury shares sold to pay for employee tax withholdings on equity awards Common stock issued upon exercise of warrants Common stock issued to consultants Conversion of notes payable into common stock Issuance of shares to employees under ESPP Plan Advaxis registered direct offerings Sale of common shares to Amgen
from October 31, 2014 to October 31, 2015 Stock compensation to employees, directors and consultants Common Stock issued upon exercise of options Common Stock issued upon exercise of warrants Common Stock issued to consultants Conversion of notes payable into common stock Issuance of shares to employees under ESPP Plan Advaxis registered direct offerings Advaxis Public Offering Treasury stock purchased to pay employee withholdings on equity awards Treasury shares sold to pay for employee tax withhholdings on equity awards
from October 31, 2013 to October 31, 2014 Stock compensation to employees, directors and consultants Common Stock issued upon exercise of warrants Common Stock issued to consultants Issuance of shares to employees under ESPP Plan Issuance of shares to investors under stock purchase agreements Advaxis Public Offering
from October 31, 2012 to October 31, 2013 Issuance of shares upon conversion of convertible promissory notes Common stock issued upon exercise of warrants Common stock issued to consultants Issuance of shares to employees under ESPP Plan Issuance of shares to investors under stock purchase agreements Fractional shares cashed out Issuance of shares under Hanover Equity Line Issuance of shares under Ironridge Settlement Notice of Redemption and Settlement Agreement with Optimus Issuance of shares to Socius Brio Settlement Issuance of earned but not issued shares to former employees Partial conversion of Moore Notes Issuance of shares under exchange agreement with Redwood Issuance of shares under conversion agreement with JMJ Advaxis Public Offering
reflects a 1-for-125 reverse stock split of our issued and outstanding shares of common stock, options and warrants effected on July 12, 2013 and the corresponding adjustment of all common stock prices per share and stock option and warrant exercise prices per share.
on July 11, 2013, to effect a 1-for-125 reverse stock split of its outstanding common stock, par value $0.001 per share, to take effect on July 12, 2013 at 4:30 p.m. EDT