0001144204-11-065040.txt : 20111115 0001144204-11-065040.hdr.sgml : 20111115 20111115151239 ACCESSION NUMBER: 0001144204-11-065040 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Rule 506 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111115 EFFECTIVENESS DATE: 20111115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Advaxis, Inc. CENTRAL INDEX KEY: 0001100397 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 841521955 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-168732 FILM NUMBER: 111207031 BUSINESS ADDRESS: STREET 1: TECHNOLOGY CENTRE OF NEW JERSEY STREET 2: 675 ROUTE 1 CITY: NORTH BRUNSWICK STATE: NJ ZIP: 08902 BUSINESS PHONE: 732 545 1590 MAIL ADDRESS: STREET 1: TECHNOLOGY CENTRE OF NEW JERSEY STREET 2: 675 ROUTE 1 CITY: NORTH BRUNSWICK STATE: NJ ZIP: 08902 FORMER COMPANY: FORMER CONFORMED NAME: GREAT EXPECTATIONS & ASSOCIATES INC DATE OF NAME CHANGE: 19991203 D 1 primary_doc.xml X0704 D LIVE 0001100397 Advaxis, Inc. 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 609-452-9813 DELAWARE Great Expectations and Associates, Inc. GREAT EXPECTATIONS & ASSOCIATES INC Corporation true Thomas Moore 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 Executive Officer Director James Patton 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 Director Roni A. Appel 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 Director Thomas McKearn 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 Director Richard Berman 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 Director John Rothman 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 Executive Officer Mark J. Rosenblum 305 COLLEGE ROAD EAST PRINCETON NJ NEW JERSEY 08540 Executive Officer Biotechnology Decline to Disclose 06 false 2011-10-31 false true true true true Common Stock issuable upon conversion of notes. false 0 Rodman & Renshaw, LLC 16415 None None 1251 AVENUE OF THE AMERICAS 20TH FLOOR NEW YORK NY NEW YORK 10020 CA CALIFORNIA CT CONNECTICUT GA GEORGIA IL ILLINOIS NJ NEW JERSEY NY NEW YORK NC NORTH CAROLINA PA PENNSYLVANIA false Indefinite 1977500 Indefinite The investors paid an aggregate purchase price of $1,977,500.00 in return for receiving from Advaxis (i) an aggregate of $2,326,470.59 of Advaxis' convertible promissory notes and (ii) warrants to purchase up to 7,754,899 shares of Advaxis' common stock. false 12 110425 0 Rodman & Renshaw, LLC also received warrants to purchase an aggregate of 866,078 shares of Advaxis, Inc.'s common stock as part of its sales commission. 0 The notes purchased in this offering by Thomas A. Moore, Advaxis' Chairman and Chief Executive Officer, were paid for in exchange for the cancellation of $400,000.00 of outstanding indebtedness owed by Advaxis to Mr. Moore. false Advaxis, Inc. /s/ Mark J. Rosenblum Mark J. Rosenblum Chief Financial Officer, Senior Vice President and Secretary 2011-11-15