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
aMoon Growth Fund Limited Partnership Cayman Islands 0 560602 0 0 560602 5.21 % 23/10/2023
aMoon General Partner Ltd. Israel 0 560602 0 0 560602 5.21 % 23/10/2023
Dr. Yair C. Schindel Israel 0 560602 0 0 560602 5.21 % 23/10/2023
aMoon Growth Fund G.P. Limited Partnership Israel 0 560602 0 0 560602 5.21 % 23/10/2023
Israel Biotech Fund II, L.P. 0 434783 0 434783 434783 8.2 % 11/09/2023
Israel Biotech Fund GP Partners, L.P. 0 1925601 0 1925601 1925601 31.3 % 11/09/2023
Israel Biotech Fund I, L.P. 0 1925601 0 1925601 1925601 31.3 % 11/09/2023
Israel Biotech Fund GP Partners II, L.P. 0 434783 0 434783 434783 8.2 % 11/09/2023
I.B.F Management Ltd. 0 2360384 0 2360384 2360384 35.9 % 11/09/2023
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
aMoon Growth Fund G.P. Limited Partnership Israel 0 560602 0 0 560602 12.2 % 30/01/2023
aMoon Growth Fund Limited Partnership Cayman Islands 0 560602 0 0 560602 12.2 % 30/01/2023
Dr. Yair C. Schindel Israel 0 560602 0 0 560602 12.2 % 30/01/2023
aMoon General Partner Ltd. Israel 0 560602 0 0 560602 12.2 % 30/01/2023
13-3127734 Delaware 0 0 0 0 0 0 % 10/02/2022
26-0385758 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
26-0385758 Delaware 4811211 0 6069343 0 6069343 6.5 % 11/02/2021
13-3127734 Delaware 4811211 0 6069343 0 6069343 6.5 % 11/02/2021
Rockledge Capital Corporation Texas 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
Lincoln Park Capital Fund, LLC Illinois 0 4594793 0 4594793 4594793 6.94 % 03/08/2020
Jonathan I. Cope United States 0 4594793 0 0 4594793 6.94 % 03/08/2020
Inc. Illinois 0 4594793 0 0 4594793 6.94 % 03/08/2020
Joshua B. Scheinfeld United States 0 4594793 0 0 4594793 6.94 % 03/08/2020
Altium Growth Fund, LP Delaware, United States of America 0 0 0 0 0 0 % 13/02/2020
Altium Capital Management, LP Delaware, United States of America 0 0 0 0 0 0 % 13/02/2020
Altium Growth GP, LLC Delaware, United States of America 0 0 0 0 0 0 % 13/02/2020
13-3127734 Delaware 3780083 0 3780083 0 3780083 7.53 % 13/02/2020
26-0385758 Delaware 3780083 0 3780083 0 3780083 7.53 % 13/02/2020
CVI Investments, Inc. Cayman Islands 0 5000000 0 5000000 5000000 8.3 % 30/01/2020
Heights Capital Management, Inc. Delaware 0 5000000 0 5000000 5000000 8.3 % 30/01/2020
Ryan M. Lane United States 0 0 0 0 0 0 % 21/01/2020
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
Martin D. Hoe United States 0 0 0 0 0 0 % 21/01/2020
Altium Growth Fund, LP United States of America 0 2142750 0 0 2142750 9.87 % 31/07/2019
Altium Growth GP, LLC United States of America 0 2142750 0 0 2142750 9.87 % 31/07/2019
Altium Capital Management, LP United States of America 0 2142750 0 0 2142750 9.87 % 31/07/2019
Ryan M. Lane United States 0 600000 0 0 600000 7.49 % 12/04/2019
Empery Asset Management, LP Delaware 0 600000 0 0 600000 7.49 % 12/04/2019
Empery Tax Efficient II, LP Delaware 0 457521 0 0 457521 5.71 % 12/04/2019
Martin D. Hoe United States 0 600000 0 0 600000 7.49 % 12/04/2019
13G Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
13G Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
13G Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
13G Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
13G Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
13G Texas 0 600000 0 600000 600000 7.5 % 09/04/2019
Heights Capital Management, Inc. Delaware 0 3545562 0 3545562 3545562 4.9 % 14/02/2019
CVI Investments, Inc. Cayman Islands 0 3545562 0 3545562 3545562 4.9 % 14/02/2019
Robert Atchinson United States 0 2500000 0 0 2500000 3.59 % 13/02/2019
Adage Capital Partners, L.P. Delaware 0 2500000 0 0 2500000 3.59 % 13/02/2019
Phillip Gross United States 0 2500000 0 0 2500000 3.59 % 13/02/2019
Adage Capital Partners GP, L.L.C. Delaware 0 2500000 0 0 2500000 3.59 % 13/02/2019
Adage Capital Advisors, L.L.C. Delaware 0 2500000 0 0 2500000 3.59 % 13/02/2019
10) Delaware 3047446 0 3047446 0 3047446 4.4 % 28/12/2018
Heights Capital Management, Inc. Delaware 0 4166666 0 4166666 4166666 6 % 14/09/2018
CVI Investments, Inc. Cayman Islands 0 4166666 0 4166666 4166666 6 % 14/09/2018
(1) BlackRock, Inc. Delaware 1396923 0 1396923 0 1396923 2.7 % 10/07/2018
Adage Capital Partners, L.P. Delaware 0 4000000 0 0 4000000 9.68 % 13/02/2018
Robert Atchinson United States 0 4000000 0 0 4000000 9.68 % 13/02/2018
Phillip Gross United States 0 4000000 0 0 4000000 9.68 % 13/02/2018
Adage Capital Partners GP, L.L.C. Delaware 0 4000000 0 0 4000000 9.68 % 13/02/2018
Adage Capital Advisors, L.L.C. Delaware 0 4000000 0 0 4000000 9.68 % 13/02/2018
(1) BlackRock, Inc. Delaware 2237430 0 2281216 0 2281216 5.5 % 29/01/2018
Abigail P. Johnson Delaware 0 0 614430 0 614430 1.496 % 09/11/2017
FMR LLC Delaware 250 0 614430 0 614430 1.496 % 09/11/2017
Adage Capital Partners, L.P. Delaware 0 4700043 0 0 4700043 11.45 % 27/09/2017
Adage Capital Advisors, L.L.C. Delaware 0 4700043 0 0 4700043 11.45 % 27/09/2017
Robert Atchinson United States 0 4700043 0 0 4700043 11.45 % 27/09/2017
Adage Capital Partners GP, L.L.C. Delaware 0 4700043 0 0 4700043 11.45 % 27/09/2017
Phillip Gross United States 0 4700043 0 0 4700043 11.45 % 27/09/2017
FMR LLC Delaware 72000 0 4102885 0 4102885 10.297 % 14/02/2017
Kevin Kotler Delaware 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. Delaware 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
Sectoral Asset Management Inc. Canada 190251 0 690074 0 690074 1.7 % 10/02/2017
Michael L. Sjöström Swiss 190251 0 690074 0 690074 1.7 % 10/02/2017
Jérôme G. Pfund Swiss 190251 0 690074 0 690074 1.7 % 10/02/2017
10) Delaware 3047446 0 3047446 0 3047446 7.6 % 07/02/2017
(1) BlackRock, Inc. Delaware 2213646 0 2271463 0 2271463 5.7 % 30/01/2017
10) Delaware 0 0 0 0 3047446 8.9 % 02/08/2016
Adage Capital Advisors, L.L.C. Delaware 0 5939366 0 0 5939366 17.8 % 16/02/2016
Adage Capital Partners GP, L.L.C. Delaware 0 5939366 0 0 5939366 17.8 % 16/02/2016
Phillip Gross United States 0 5939366 0 0 5939366 17.8 % 16/02/2016
Robert Atchinson United States 0 5939366 0 0 5939366 17.8 % 16/02/2016
Adage Capital Partners, L.P. Delaware 0 5939366 0 0 5939366 17.8 % 16/02/2016
STATE STREET CORPORATION BOSTON MASSACHUSETTS 0 1683646 0 1683646 1683646 5.1 % 12/02/2016
Jérôme G. Pfund Swiss 1621215 0 1790715 0 1790715 5.3 % 12/02/2016
Sectoral Asset Management Inc. Canada 1621215 0 1790715 0 1790715 5.3 % 12/02/2016
Michael L. Sjöström Swiss 1621215 0 1790715 0 1790715 5.3 % 12/02/2016
Broadfin Healthcare Master Fund, Ltd. Delaware 0 1690517 0 1690517 1690517 5.07 % 11/02/2016
Broadfin Capital, LLC Delaware 0 1690517 0 1690517 1690517 5.07 % 11/02/2016
Kevin Kotler Delaware 0 1690517 0 1690517 1690517 5.07 % 11/02/2016
Kevin Kotler Delaware 0 1655314 0 1655314 1655314 5.27 % 12/08/2015
Broadfin Capital, LLC Delaware 0 1655314 0 1655314 1655314 5.27 % 12/08/2015
Broadfin Healthcare Master Fund, Ltd. Delaware 0 1655314 0 1655314 1655314 5.27 % 12/08/2015
Phillip Gross United States 0 4454604 0 0 4454604 18.84 % 19/12/2014
Adage Capital Partners, L.P. Delaware 0 4454604 0 0 4454604 18.84 % 19/12/2014
Robert Atchinson United States 0 4454604 0 0 4454604 18.84 % 19/12/2014
Adage Capital Partners GP, L.L.C. Delaware 0 4454604 0 0 4454604 18.84 % 19/12/2014
Adage Capital Advisors, L.L.C. Delaware 0 4454604 0 0 4454604 18.84 % 19/12/2014
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
Ironridge Global IV, Ltd. United States 0 0 32345613 0 32345613 6.9 % 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
Ironridge Global Partners, LLC United States 0 0 0 0 0 0 % 21/12/2012
Keith Coulston 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
27-0492860 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
Centrecourt Asset Management LLC United States 3384196 0 3384196 0 3384196 3.01 % 19/05/2009
Richard Smithline United States 3384196 0 3384196 0 3384196 3.01 % 19/05/2009
CAMOFI Master LDC Cayman Islands 2724196 0 2724196 0 2724196 2.42 % 19/05/2009
CAMHZN Master LDC Cayman Islands 660000 0 660000 0 660000 0.59 % 19/05/2009
Centrecourt Asset Management LLC United States 9929385 0 9929385 0 9929385 8.9 % 12/02/2009
CAMOFI Master LDC Cayman Islands 8064247 0 8064247 0 8064247 7.2 % 12/02/2009
CAMHZN Master LDC Cayman Islands 1865138 0 1865138 0 1865138 1.7 % 12/02/2009
Richard Smithline United States 9929385 0 9929385 0 9929385 8.9 % 12/02/2009
CAMOFI Master LDC Cayman Islands 20856935 0 20856935 0 20856935 7.6 % 07/02/2008
Centrecourt Asset Management LLC United States 26020269 0 26020269 0 26020269 9.45 % 07/02/2008
Richard Smithline United States 26020269 0 26020269 0 26020269 9.45 % 07/02/2008
CAMHZN Master LDC Cayman Islands 5163334 0 5163334 0 5163334 1.85 % 07/02/2008
CAMOFI Master LDC Cayman Islands 20676435 0 20676435 0 20676435 9.99 % 25/10/2007
Richard Smithline United States 25839769 0 25839769 0 25839769 9.99 % 25/10/2007
Centrecourt Asset Management LLC United States 25839769 0 25839769 0 25839769 9.99 % 25/10/2007

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