0001144204-12-033442.txt : 20120606 0001144204-12-033442.hdr.sgml : 20120606 20120606114233 ACCESSION NUMBER: 0001144204-12-033442 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Rule 506 FILED AS OF DATE: 20120606 DATE AS OF CHANGE: 20120606 EFFECTIVENESS DATE: 20120606 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: 021-179326 FILM NUMBER: 12891160 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 X0705 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 L. 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 2012-05-18 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 715000 Indefinite Advaxis received an aggregate purchase price of $715,000 in return for issuing to the investors (i) an aggregate of $953,333 of its convertible promissory notes and (ii) warrants to purchase an aggregate of up to 3,177,777 shares of its common stock. false 8 28000 0 Rodman & Renshaw, LLC also received warrants to purchase an aggregate of 355,556 shares of Advaxis, Inc.'s common stock as part of its sales commission. 0 No amount of the gross proceeds is anticipated to pay named executive officers, except that the issuer may use up to $200,000 of the gross proceeds or other available funds for payments to its CEO for prior outstanding amounts owed to him. false Advaxis, Inc. /s/ Mark J. Rosenblum Mark J. Rosenblum Chief Financial Officer, Senior Vice President and Secretary 2012-06-06