ADXS

Ayala Pharmaceuticals, Inc. ADXS

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Jeremy C. Green United Kingdom 0 211014 0 211014 211014 1.9 % 14/02/2024
Redmile Group, LLC Delaware 0 211014 0 211014 211014 1.9 % 14/02/2024
aMoon Growth Fund Limited Partnership Cayman Islands 0 560602 0 560602 560602 1.31 % 12/02/2024
aMoon Growth Fund G.P. Limited Partnership Israel 0 560602 0 560602 560602 1.31 % 12/02/2024
aMoon General Partner Ltd. Israel 0 560602 0 560602 560602 1.31 % 12/02/2024
Dr. Yair C. Schindel Israel 0 560602 0 560602 560602 1.31 % 12/02/2024
Dr. Yair C. Schindel Israel 0 560602 0 560602 560602 5.21 % 23/10/2023
Dr. Yair C. Schindel Israel 0 560602 0 560602 560602 5.21 % 23/10/2023
aMoon General Partner Ltd. Israel 0 560602 0 560602 560602 5.21 % 23/10/2023
aMoon Growth Fund G.P. Limited Partnership Israel 0 560602 0 560602 560602 5.21 % 23/10/2023
aMoon Growth Fund Limited Partnership Cayman Islands 0 560602 0 560602 560602 5.21 % 23/10/2023
aMoon General Partner Ltd. Israel 0 560602 0 560602 560602 5.21 % 23/10/2023
aMoon Growth Fund G.P. Limited Partnership Israel 0 560602 0 560602 560602 5.21 % 23/10/2023
aMoon Growth Fund Limited Partnership Cayman Islands 0 560602 0 560602 560602 5.21 % 23/10/2023
Redmile Group, LLC Delaware 0 332353 0 332353 332353 6.8 % 08/02/2023
Jeremy C. Green United Kingdom 0 332353 0 332353 332353 6.8 % 08/02/2023
Harel Insurance Company Ltd. 0 403523 0 403523 403523 8.3 % 07/02/2023
Harel Insurance Investments & Financial Services Ltd. 0 403523 0 403523 403523 8.3 % 07/02/2023
Dr. Yair C. Schindel Israel 0 560602 0 560602 560602 12.2 % 30/01/2023
aMoon Growth Fund Limited Partnership Cayman Islands 0 560602 0 560602 560602 12.2 % 30/01/2023
aMoon Growth Fund G.P. Limited Partnership Israel 0 560602 0 560602 560602 12.2 % 30/01/2023
aMoon General Partner Ltd. Israel 0 560602 0 560602 560602 12.2 % 30/01/2023
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 0 0 0 0 0 0 % 10/02/2022
Renaissance Technologies LLC Delaware 0 0 0 0 0 0 % 10/02/2022
Renaissance Technologies LLC Delaware 0 0 0 0 0 0 % 10/02/2022
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 0 0 0 0 0 0 % 10/02/2022
CVI Investments, Inc. Cayman Islands 0 2000000 0 2000000 2000000 2.1 % 16/02/2021
Heights Capital Management, Inc. Delaware 0 2000000 0 2000000 2000000 2.1 % 16/02/2021
Heights Capital Management, Inc. Delaware 2000000 0 2000000 2000000 2.1 % 16/02/2021
CVI Investments, Inc. Cayman Islands 2000000 0 2000000 2000000 2.1 % 16/02/2021
Renaissance Technologies LLC Delaware 4811211 0 6069343 0 6069343 6.5 % 11/02/2021
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 4811211 0 6069343 0 6069343 6.5 % 11/02/2021
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 4811211 0 6069343 0 6069343 6.5 % 11/02/2021
Renaissance Technologies LLC Delaware 4811211 0 6069343 0 6069343 6.5 % 11/02/2021
Lincoln Park Capital, LLC Illinois 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Lincoln Park Capital Fund, LLC Illinois 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Lincoln Park Capital, LLC Illinois 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Rockledge Capital Corporation Texas 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Joshua B. Scheinfeld United States 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Alex Noah Investors, Inc. Illinois 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Jonathan I. Cope United States 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Jonathan I. Cope United States 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Alex Noah Investors, Inc. Illinois 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Joshua B. Scheinfeld United States 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Lincoln Park Capital Fund, LLC Illinois 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Rockledge Capital Corporation Texas 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Anson Funds Management LP Texas 0 0 0 0 0 0 % 14/02/2020
Anson Management GP LLC Texas 0 0 0 0 0 0 % 14/02/2020
Bruce R. Winson United States Citizen 0 0 0 0 0 0 % 14/02/2020
Anson Advisors Inc. Ontario, Canada 0 0 0 0 0 0 % 14/02/2020
Amin Nathoo Canadian Citizen 0 0 0 0 0 0 % 14/02/2020
Moez Kassam Canadian Citizen 0 0 0 0 0 0 % 14/02/2020
EIN Delaware, United States of America 0 0 0 0 0 % 13/02/2020
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 3780083 0 3780083 0 3780083 7.53 % 13/02/2020
Renaissance Technologies LLC Delaware 3780083 0 3780083 0 3780083 7.53 % 13/02/2020
CVI Investments, Inc. 5000000 8.3 % 30/01/2020
CVI Investments, Inc. 5000000 8.3 % 30/01/2020
Heights Capital Management, Inc. 5000000 8.3 % 30/01/2020
Heights Capital Management, Inc. 5000000 8.3 % 30/01/2020
Empery Tax Efficient II, LP Delaware 0 0 0 0 0 0 % 21/01/2020
Empery Asset Management, LP Delaware 0 0 0 0 0 0 % 21/01/2020
Ryan M. Lane United States 0 0 0 0 0 0 % 21/01/2020
Martin D. Hoe United States 0 0 0 0 0 0 % 21/01/2020
Ryan M. Lane United States 0 0 0 0 0 0 % 21/01/2020
Empery Asset Management, LP Delaware 0 0 0 0 0 0 % 21/01/2020
Empery Tax Efficient II, LP Delaware 0 0 0 0 0 0 % 21/01/2020
Martin D. Hoe United States 0 0 0 0 0 0 % 21/01/2020
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 0 0 0 0 0 % 06/01/2020
Hal Mintz USA 0 0 0 0 0 0 % 06/01/2020
Sabby Management, LLC Delaware USA 0 0 0 0 0 0 % 06/01/2020
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 0 0 0 0 0 % 06/01/2020
Sabby Management, LLC Delaware USA 0 0 0 0 0 0 % 06/01/2020
Hal Mintz USA 0 0 0 0 0 0 % 06/01/2020
EIN Delaware, United States of America 1700000 0 1700000 1700000 9.87 % 31/07/2019
EIN Delaware, United States of America 1700000 0 1700000 1700000 9.87 % 31/07/2019
Empery Asset Management, LP Delaware 0 600000 0 600000 600000 7.49 % 12/04/2019
Martin D. Hoe United States 0 600000 0 600000 600000 7.49 % 12/04/2019
Ryan M. Lane United States 0 600000 0 600000 600000 7.49 % 12/04/2019
Martin D. Hoe United States 0 600000 0 600000 600000 7.49 % 12/04/2019
Ryan M. Lane United States 0 600000 0 600000 600000 7.49 % 12/04/2019
Empery Asset Management, LP Delaware 0 600000 0 600000 600000 7.49 % 12/04/2019
Empery Tax Efficient II, LP Delaware 0 457521 0 457521 457521 5.71 % 12/04/2019
Empery Tax Efficient II, LP Delaware 0 457521 0 457521 457521 5.71 % 12/04/2019
Anson Management GP LLC Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
Anson Advisors Inc. Ontario, Canada 0 600000 0 600000 600000 7.5 % 09/04/2019
Bruce R. Winson United States Citizen 0 600000 0 600000 600000 7.5 % 09/04/2019
Amin Nathoo Canadian Citizen 0 600000 0 600000 600000 7.5 % 09/04/2019
Moez Kassam Canadian Citizen 0 600000 0 600000 600000 7.5 % 09/04/2019
Anson Advisors Inc. Ontario, Canada 0 600000 0 600000 600000 7.5 % 09/04/2019
Amin Nathoo Canadian Citizen 0 600000 0 600000 600000 7.5 % 09/04/2019
Moez Kassam Canadian Citizen 0 600000 0 600000 600000 7.5 % 09/04/2019
Anson Funds Management LP Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
Anson Management GP LLC Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
Anson Funds Management LP Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
Bruce R. Winson United States Citizen 0 600000 0 600000 600000 7.5 % 09/04/2019
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 600000 0 600000 600000 7.49 % 03/04/2019
Sabby Management, LLC Delaware, USA 0 600000 0 600000 600000 7.49 % 03/04/2019
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 600000 0 600000 600000 7.49 % 03/04/2019
Hal Mintz USA 0 600000 0 600000 600000 7.49 % 03/04/2019
Hal Mintz USA 0 600000 0 600000 600000 7.49 % 03/04/2019
Sabby Management, LLC Delaware, USA 0 600000 0 600000 600000 7.49 % 03/04/2019
CVI Investments, Inc. 3545562 4.9 % 14/02/2019
Heights Capital Management, Inc. 3545562 4.9 % 14/02/2019
Adage Capital Advisors, L.L.C. Delaware 0 2500000 0 2500000 2500000 3.59 % 13/02/2019
Adage Capital Partners, L.P. Delaware 0 2500000 0 2500000 2500000 3.59 % 13/02/2019
Robert Atchinson United States 0 2500000 0 2500000 2500000 3.59 % 13/02/2019
Phillip Gross United States 0 2500000 0 2500000 2500000 3.59 % 13/02/2019
Adage Capital Partners GP, L.L.C. Delaware 0 2500000 0 2500000 2500000 3.59 % 13/02/2019
AMGEN INC. Delaware 3047446 0 3047446 0 3047446 4.4 % 28/12/2018
CVI Investments, Inc. 4166666 6 % 14/09/2018
Heights Capital Management, Inc. 4166666 6 % 14/09/2018
BlackRock, Inc. Delaware 1396923 0 1396923 0 1396923 2.7 % 10/07/2018
Adage Capital Partners, L.P. Delaware 0 4000000 0 4000000 4000000 9.68 % 13/02/2018
Phillip Gross United States 0 4000000 0 4000000 4000000 9.68 % 13/02/2018
Robert Atchinson United States 0 4000000 0 4000000 4000000 9.68 % 13/02/2018
Adage Capital Advisors, L.L.C. Delaware 0 4000000 0 4000000 4000000 9.68 % 13/02/2018
Adage Capital Partners GP, L.L.C. Delaware 0 4000000 0 4000000 4000000 9.68 % 13/02/2018
BlackRock, Inc. Delaware 2237430 0 2281216 0 2281216 5.5 % 29/01/2018
Abigail P. Johnson United States of America 0 0 614430 0 614430 1.496 % 09/11/2017
FMR LLC Delaware 250 0 614430 0 614430 1.496 % 09/11/2017
Phillip Gross United States 0 4700043 0 4700043 4700043 11.45 % 27/09/2017
Adage Capital Partners, L.P. Delaware 0 4700043 0 4700043 4700043 11.45 % 27/09/2017
Adage Capital Partners GP, L.L.C. Delaware 0 4700043 0 4700043 4700043 11.45 % 27/09/2017
Robert Atchinson United States 0 4700043 0 4700043 4700043 11.45 % 27/09/2017
Adage Capital Advisors, L.L.C. Delaware 0 4700043 0 4700043 4700043 11.45 % 27/09/2017
Abigail P. Johnson United States of America 0 0 4102885 0 4102885 10.297 % 14/02/2017
FMR LLC Delaware 72000 0 4102885 0 4102885 10.297 % 14/02/2017
Kevin Kotler United States of America 0 1519259 0 1519259 1519259 3.81 % 13/02/2017
Broadfin Capital, LLC Delaware 0 1519259 0 1519259 1519259 3.81 % 13/02/2017
Broadfin Healthcare Master Fund, Ltd. Cayman Islands 0 1519259 0 1519259 1519259 3.81 % 13/02/2017
STATE STREET CORPORATION BOSTON, MASSACHUSETTS 0 621505 0 621505 621505 1.56 % 10/02/2017
Michael L. Sjöström Swiss 690074 1.7 % 10/02/2017
Sectoral Asset Management Inc. Canada 690074 1.7 % 10/02/2017
Jérôme G. Pfund Swiss 690074 1.7 % 10/02/2017
AMGEN INC. Delaware 3047446 0 3047446 0 3047446 7.6 % 07/02/2017
BlackRock, Inc. Delaware 2213646 0 2271463 0 2271463 5.7 % 30/01/2017
FMR LLC Delaware 0 0 4058739 0 4058739 10.239 % 12/09/2016
Abigail P. Johnson United States of America 0 0 4058739 0 4058739 10.239 % 12/09/2016
AMGEN INC. Delaware 3047446 0 3047446 0 3047446 8.9 % 02/08/2016
Phillip Gross United States 0 5939366 0 5939366 5939366 17.8 % 16/02/2016
Adage Capital Advisors, L.L.C. Delaware 0 5939366 0 5939366 5939366 17.8 % 16/02/2016
Robert Atchinson United States 0 5939366 0 5939366 5939366 17.8 % 16/02/2016
Adage Capital Partners, L.P. Delaware 0 5939366 0 5939366 5939366 17.8 % 16/02/2016
Adage Capital Partners GP, L.L.C. Delaware 0 5939366 0 5939366 5939366 17.8 % 16/02/2016
STATE STREET CORPORATION NO. OF THE ABOVE PERSON: BOSTON MASSACHUSETTS 0 1683646 0 1683646 1683646 5.1 % 12/02/2016
Michael L. Sjöström Swiss 1790715 5.3 % 12/02/2016
Jérôme G. Pfund Swiss 1790715 5.3 % 12/02/2016
Sectoral Asset Management Inc. Canada 1790715 5.3 % 12/02/2016
Broadfin Capital, LLC Delaware 0 1690517 0 1690517 1690517 5.07 % 11/02/2016
Broadfin Healthcare Master Fund, Ltd. Cayman Islands 0 1690517 0 1690517 1690517 5.07 % 11/02/2016
Kevin Kotler United States America 0 1690517 0 1690517 1690517 5.07 % 11/02/2016
T. ROWE PRICE HEALTH SCIENCES FUND, INC. Maryland 0 0 0 0 1216220 3.6 % 11/02/2016
T. ROWE PRICE ASSOCIATES, INC. MARYLAND 0 0 0 0 1567715 4.6 % 11/02/2016
Broadfin Capital, LLC Delaware 0 1655314 0 1655314 1655314 5.27 % 12/08/2015
Kevin Kotler United States of America 0 1655314 0 1655314 1655314 5.27 % 12/08/2015
Broadfin Healthcare Master Fund, Ltd. Cayman Islands 0 1655314 0 1655314 1655314 5.27 % 12/08/2015
T. ROWE PRICE HEALTH SCIENCES FUND, INC. Maryland 0 0 0 0 979764 5 % 10/02/2015
T. ROWE PRICE ASSOCIATES, INC. MARYLAND 0 0 0 0 1217781 6.2 % 10/02/2015
Robert Atchinson United States 0 4454604 0 4454604 4454604 18.84 % 19/12/2014
Phillip Gross United States 0 4454604 0 4454604 4454604 18.84 % 19/12/2014
Adage Capital Advisors, L.L.C. Delaware 0 4454604 0 4454604 4454604 18.84 % 19/12/2014
Adage Capital Partners GP, L.L.C. Delaware 0 4454604 0 4454604 4454604 18.84 % 19/12/2014
Adage Capital Partners, L.P. Delaware 0 4454604 0 4454604 4454604 18.84 % 19/12/2014
Hal Mintz USA 0 162375 0 162375 162375 1.28 % 29/01/2014
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 162375 0 162375 162375 1.28 % 29/01/2014
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 0 0 0 0 0 % 29/01/2014
Sabby Management, LLC Delaware USA 0 162375 0 162375 162375 1.28 % 29/01/2014
Justin Keener United States 803333 0 803333 0 803333 5.97 % 30/10/2013
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 600000 0 600000 600000 4.74 % 24/10/2013
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 200000 0 200000 200000 1.58 % 24/10/2013
Sabby Management, LLC Delaware USA 0 800000 0 800000 800000 6.32 % 24/10/2013
Hal Mintz USA 0 800000 0 800000 800000 6.32 % 24/10/2013
Keith Coulston United States 0 0 0 0 0 0 % 21/12/2012
Richard H. Kreger United States 0 0 0 0 0 0 % 21/12/2012
John C. Kirkland United States 0 0 0 0 0 0 % 21/12/2012
Brendan T. O’Neil United States 0 0 0 0 0 0 % 21/12/2012
Ironridge Global Partners, LLC Delaware 0 0 0 0 0 0 % 21/12/2012
Ironridge Global IV, Ltd. British Virgin Islands 0 0 32345613 0 32345613 6.9 % 21/12/2012
Optimus CG II, Ltd. Cayman Islands 4010038 0 4010038 0 4010038 1.9 % 14/02/2011
Optimus Capital Partners, dba Optimus Life Sciences Capital Partners, LLC Delaware 4010038 0 4010038 0 4010038 1.9 % 14/02/2011
Castlerigg International Holdings Limited British Virgin Islands 0 852942 0 852942 852942 0.7 % 16/02/2010
Thomas E. Sandell Sweden 0 852942 0 852942 852942 0.7 % 16/02/2010
Castlerigg Master Investments Ltd. British Virgin Islands 0 852942 0 852942 852942 0.7 % 16/02/2010
Sandell Asset Management Corp. Cayman Islands 0 852942 0 852942 852942 0.7 % 16/02/2010
Castlerigg International Limited British Virgin Islands 0 852942 0 852942 852942 0.7 % 16/02/2010
Optimus Capital Partners, LLC, dba Optimus Life Sciences Capital Partners, LLC Delaware 11448186 0 11448186 0 11448186 9.9 % 16/02/2010
Optimus CG II, Ltd. Cayman Islands 11448186 0 11448186 0 11448186 9.9 % 16/02/2010
Optimus CG II, Ltd. Cayman Islands 11563000 0 11563000 0 11563000 9.99 % 11/01/2010
Optimus Capital Partners, dba Optimus Life Sciences Capital Partners, LLC Delaware 11563000 0 11563000 0 11563000 9.99 % 11/01/2010

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District