0001493152-21-029142.txt : 20211117 0001493152-21-029142.hdr.sgml : 20211117 20211117171813 ACCESSION NUMBER: 0001493152-21-029142 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 13 CONFORMED PERIOD OF REPORT: 20211116 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders ITEM INFORMATION: Other Events FILED AS OF DATE: 20211117 DATE AS OF CHANGE: 20211117 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36138 FILM NUMBER: 211421535 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 8-K 1 form8-k.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): November 16, 2021

ADVAXIS, INC.

(Exact name of registrant as specified in its charter)

Delaware		001-36138		02-0563870
(State or other jurisdiction		(Commission		(IRS Employer
of incorporation)		File Number)		Identification No.)

9 Deer Park Drive, Suite K-1

Monmouth Junction, NJ

08852

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code: (609) 452-9813

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class		Trading Symbol(s)		Name of each exchange on which registered
Common stock, par value $0.001 per share		ADXS		Nasdaq Capital Market
Preferred Share Purchase Rights		-		Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.07 Submission of Matters to a Vote of Security Holders

Advaxis, Inc. (the “Company”) convened its Special Meeting of Stockholders (the “Special Meeting”) on November 16, 2021. The purpose of the Special Meeting was described in the Company’s definitive proxy statement as filed with the Securities and Exchange Commission on October 21, 2021 (the “Definitive Proxy Statement”).

At the close of business on September 17, 2021, the record date for the determination of stockholders entitled to vote at the Special Meeting, there were 145,638,459 shares of the Company’s Common Stock outstanding and entitled to vote at the Special Meeting. The holders of 79,512,495 shares of the Company’s Common Stock were represented virtually or by proxy at the Special Meeting, constituting a quorum.

The final voting results for Proposal 5, as described in the Definitive Proxy Statement, are set forth below. In accordance with the authority granted pursuant to Proposal 5, the Special Meeting was adjourned in order to allow additional time for stockholders to vote on Proposals 1, 2, 3 and 4. The adjourned Special Meeting will be reconvened at 10 a.m., Eastern Time, on December 7, 2021 at www.virtualshareholdermeeting.com/ADXS2021SM. The matter of business before the reconvened Special Meeting will be for stockholders to vote on Proposals 1, 2, 3 and 4, as described in the Definitive Proxy Statement.

Adjournment Proposal — Proposal to adjourn the vote on certain of the proposals presented at the Special Meeting

The vote to adjourn the Special Meeting to December 7, 2021 to solicit additional proxies to vote in favor of the Proposals described in the Definitive Proxy Statement, was as follows:

For		Against		Abstain
47,691,536		30,225,652		1,595,307

Item 8.01 Other Events

In accordance with the Adjournment Proposal, which was approved by the stockholders, the Special Meeting was adjourned to December 7, 2021, at 10 a.m. Eastern Time with respect to Proposals 1, 2, 3 and 4.

The adjourned Special Meeting will be held at the same virtual meeting location, on December 7, 2021, at 10 a.m. Eastern Time at www.virtualshareholdermeeting.com/ADXS2021SM. This will enable the Company’s stockholders of record as of the record date, which was September 17, 2021, additional time to consider and vote on Proposal Nos. 1, 2, 3 and 4, and enable the Company’s proxy solicitor, Kingsdale Advisors, more time to assist the Company with the solicitation of stockholder votes on Proposal Nos. 1, 2, 3 and 4.

At the adjourned Special Meeting on December 7, 2021, stockholders will be deemed to be present in person and vote at such adjourned meeting in the same manner as disclosed in the definitive proxy statement the Company filed with the Securities and Exchange Commission on October 21, 2021 and mailed to the stockholders. Valid proxies submitted prior to the reconvened Special Meeting will continue to be valid for the upcoming reconvened Special Meeting, unless properly changed or revoked prior to votes being taken at such reconvened Special Meeting.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

November 17, 2021	ADVAXIS, INC.

	By:	/s/ Kenneth A. Berlin
	Name:	Kenneth A. Berlin
	Title:	President, Chief Executive Officer and Interim Chief Financial Officer

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Cover	Nov. 16, 2021
Document Type	8-K
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Document Period End Date	Nov. 16, 2021
Entity File Number	001-36138
Entity Registrant Name	ADVAXIS, INC.
Entity Central Index Key	0001100397
Entity Tax Identification Number	02-0563870
Entity Incorporation, State or Country Code	DE
Entity Address, Address Line One	9 Deer Park Drive
Entity Address, Address Line Two	Suite K-1
Entity Address, City or Town	Monmouth Junction
Entity Address, State or Province	NJ
Entity Address, Postal Zip Code	08852
City Area Code	(609)
Local Phone Number	452-9813
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Pre-commencement Issuer Tender Offer	false
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Entity Emerging Growth Company	false
Common stock, par value $0.001 per share
Title of 12(b) Security	Common stock, par value $0.001 per share
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Preferred Share Purchase Rights
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