0001493152-22-003846.txt : 20220211 0001493152-22-003846.hdr.sgml : 20220211 20220210182027 ACCESSION NUMBER: 0001493152-22-003846 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20220211 DATE AS OF CHANGE: 20220210 EFFECTIVENESS DATE: 20220211 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: 021-433189 FILM NUMBER: 22615779 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 Executive Officer 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 2022-01-31 false true false 380000 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 4750000 4750000 0 This amount reflects a private placement of 1,000,000 shares of the Company's Series D Convertible Redeemable Preferred Stock, par value $0.001, which will be convertible, at a conversion price of $0.25 per share (subject to adjustments). false 6 0 295000 In connection with the transaction, A.G.P./Alliance Global Partners received placement agent fees in the aggregate amount of $295,000. 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 2022-02-10