0001493152-21-009926.txt : 20210428 0001493152-21-009926.hdr.sgml : 20210428 20210428160929 ACCESSION NUMBER: 0001493152-21-009926 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20210428 DATE AS OF CHANGE: 20210428 EFFECTIVENESS DATE: 20210428 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: 021-397547 FILM NUMBER: 21864303 BUSINESS ADDRESS: STREET 1: 9 DEER PARK DRIVE STREET 2: SUITE K-1 CITY: MONMOUTH JUNCTION STATE: NJ ZIP: 08852 BUSINESS PHONE: 732 545 1590 MAIL ADDRESS: STREET 1: 9 DEER PARK DRIVE STREET 2: SUITE K-1 CITY: MONMOUTH JUNCTION STATE: NJ ZIP: 08852 FORMER COMPANY: FORMER CONFORMED NAME: GREAT EXPECTATIONS & ASSOCIATES INC DATE OF NAME CHANGE: 19991203 D 1 primary_doc.xml X0708 D LIVE 0001100397 Advaxis, Inc. 9 DEER PARK DRIVE, SUITE K-1 MONMOUTH JUNCTION NJ NEW JERSEY 08852 732-545-1590 DELAWARE None GREAT EXPECTATIONS & ASSOCIATES INC Corporation true Kenneth Berlin 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Executive Officer Director David Sidransky c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Director James Patton c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Director Roni Appel c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Director Richard Berman c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Director Samir Khleif c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Director Igor Gitelman c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Director Andres Gutierrez c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1 Monmouth Junction NJ NEW JERSEY 08852 Executive Officer Biotechnology $1,000,001 - $5,000,000 06b false 2021-04-14 false true true false 3000000 A.G.P./Alliance Global Partners 8361 None None 590 MADISON AVENUE, 28TH FLOOR NEW YORK NY NEW YORK 10022 IL ILLINOIS NY NEW YORK false 11093521 11093521 0 Amount reflects purchase price of securities sold in concurrent registered offering which were bundled with private placement warrants to purchase up to 14,005,202 shares of the Company's common stock. false 2 0 1104501 In connection with the transaction, A.G.P./Alliance Global Partners received placement agent fees in the aggregate amount of $1,104,501.34, which reflects aggregate fees for private placement and concurrent registered offering. 0 The proceeds from the offering will not be used for payments to any of the persons identified as related persons in response to Item 3. false Advaxis, Inc. /s/ Kenneth A. Berlin Kenneth A. Berlin President, Chief Executive Officer and Interim CFO 2021-04-28