Current Report Filing (8-k)
September 07 2018 - 9:49AM
Edgar (US Regulatory)
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):
September 6, 2018
ADVAXIS,
INC.
(Exact
Name of Registrant as Specified in Charter)
Delaware
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001-36138
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02-0563870
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(State
or Other Jurisdiction
of
Incorporation)
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(Commission
File
Number)
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(IRS
Employer
Identification
No.)
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305
College Road East
Princeton,
New Jersey, 08540
(Address
of Principal Executive Offices)
(609)
452-9813
(Registrant’s
telephone number, including area code)
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:
[ ]
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Written
communications pursuant to Rule 425 under the Securities Act.
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act.
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2b under the Exchange Act.
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act.
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Indicate
by check mark whether the registrant is an emerging growth company 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
2.02 Results of Operations and Financial Condition
On September 6, 2018, Advaxis, Inc. (the “Company”)
disclosed that, although it has not finalized its full financial results for the fiscal quarter ended July 31, 2018, it expects
to report that it had $40.4 million of cash, cash equivalents and restricted cash as of July 31, 2018. The amount is preliminary,
has not been audited and is subject to change upon completion of the Company’s unaudited financial statements for the quarter
ended July 31, 2018. Additional information and disclosures would be required for a more complete understanding of the Company’s
financial position and results of operations as of July 31, 2018.
The
information provided pursuant to this Item 2.02 is “furnished” and shall not be deemed to be “filed” for
purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject
to the liabilities of that Section or of Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended (the “Securities
Act”), and shall not be incorporated by reference into any filing with the SEC made by the Company, whether made before
or after the date hereof, regardless of any general incorporation language in such filing.
Forward-Looking
Statements
This
report may contain forward-looking statements, including, but not limited to, statements regarding the Company’s anticipated
cash position as of July 31, 2018. These forward-looking statements are subject to a number of risks and uncertainties
including changes in estimated cash position based on the completion of financial closing procedures and the risk factors
set forth from time to time in the Company’s SEC filings including, but not limited to, its report on Form 10-K for the
fiscal year ended October 31, 2017, which is available at www.sec.gov. Any forward-looking statements set forth in this report
speak only as of the date of this report. We do not intend to update any of these forward-looking statements to reflect events
or circumstances that occur after the date hereof other than as required by law. You are cautioned not to place undue reliance
on any forward-looking statements. Information contained on the Company’s website does not constitute part of this report.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed
on its behalf by the undersigned hereunto duly authorized.
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ADVAXIS,
INC.
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(Registrant)
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Date:
September 7, 2018
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By:
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/s/
Kenneth A. Berlin
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Kenneth
A. Berlin
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President
and Chief Executive Officer
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