Statement of Ownership (sc 13g)
July 31 2019 - 1:36PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under
the Securities Exchange Act of 1934
Advaxis,
Inc
|
(Name
of Issuer)
|
Common
Stock
|
(Title
of Class of Securities)
|
007624307
|
(CUSIP
Number)
|
July 23, 2019
|
(Date
of Event Which Requires Filing of this Statement)
|
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
|
☐
|
Rule
13d-1(b)
|
|
☒
|
Rule
13d-1(c)
|
|
☐
|
Rule
13d-1(d)
|
*
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided
in a prior cover page.
The
information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section
18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP
No
.
|
007624307
|
|
Page
2 of 7
|
1
|
NAME
OF REPORTING PERSONS
Altium Capital Management, LP
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2066653
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.87%
(see item 4) *
|
|
12
|
TYPE
OF REPORTING PERSON
IA
|
|
|
|
|
|
|
*
As more fully described in Item 4, the Pre-Funded Warrants and the Warrants are subject to a 4.99% blocker. However, as more
fully described in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock that
would be issuable upon full conversion and exercise of such reported securities and do not give effect to such blockers. Therefore,
the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to such blockers,
is less than the number of securities reported in rows (6), (8) and (9).
|
|
CUSIP
No
.
|
007624307
|
|
Page
3 of 7
|
1
|
NAME
OF REPORTING PERSONS
Altium Growth Fund, LP
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2105101
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.87%
(see Item 4) *
|
|
12
|
TYPE
OF REPORTING PERSON
PN
|
|
|
|
|
|
|
* As more fully described in Item 4, the Pre-Funded Warrants and the Warrants are subject to a 4.99% blocker. However, as
more fully described in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock
that would be issuable upon full conversion and exercise of such reported securities and do not give effect to such blockers.
Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to
such blockers, is less than the number of securities reported in rows (6), (8) and (9).
|
CUSIP
No
.
|
007624307
|
|
Page
4 of 7
|
1
|
NAME
OF REPORTING PERSONS
Altium Growth GP, LLC
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2086430
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,700,000
shares of Common Stock
1,157,000
shares of Common Stock upon conversion of Pre-Funded Warrants (see Item 4) *
2,142,750
shares of Common Stock issuable upon exercise of Warrants (see Item 4) *
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.87%
(see Item 4) *
|
|
12
|
TYPE
OF REPORTING PERSON
PN
|
|
|
|
|
|
|
* As more fully described in Item 4, the Pre-Funded Warrants and the Warrants are subject to a 4.99% blocker.
However, as more fully described in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common
Stock that would be issuable upon full conversion and exercise of such reported securities and do not give effect to such blockers.
Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to such
blockers, is less than the number of securities reported in rows (6), (8) and (9).
|
CUSIP
No
.
|
007624307
|
|
Page
5 of 7
|
Item
1(a).
|
|
Name of Issuer:
Advaxis, Inc. (the “Issuer”)
|
|
|
|
|
|
|
|
|
|
Item
1(b).
|
|
Address
of Issuer’s Principal Executive Offices:
305, College Road East,
Princeton,
New Jersey 08540
|
|
|
|
Item
2(a).
|
|
Name
of Person Filing:
This
statement is jointly filed by and on behalf of each of Altium Growth Fund, LP, Altium Capital Management, LP, and Altium
Growth GP, LLC. Altium Growth Fund, LP is the record and direct beneficial owner of the securities covered by this statement.
Altium Capital Management, LP is the investment adviser of, and may be deemed to beneficially own securities, owned by,
Altium Growth Fund, LP. Altium Growth GP, LLC is the general partner of, and may be deemed to beneficially own securities
owned by, Altium Growth Fund, LP.
Each
reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission
that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, the beneficial owner
of any securities covered by this statement.
Each
of the reporting persons may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer
for the purposes of Section 13(d) or 13(g) of the Act. Each of the reporting persons declares that neither the filing
of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section
13(d) or 13(g) of the Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other
person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding, or disposing
of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of
any group with respect to the Issuer or any securities of the Issuer.
|
|
|
|
Item
2(b).
|
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Address
of Principal Business Office or, if None, Residence:
|
|
|
|
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The
address of the principal business office of each of the reporting persons is 551 Fifth Ave, FL 19 New York, NY 10176
|
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Item
2(c).
|
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Citizenship:
|
|
|
|
|
|
See
Item 4 on the cover page(s) hereto.
|
|
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Item
2(d).
|
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Title
of Class of Securities:
|
|
|
|
|
|
Common
Stock
|
|
|
|
Item
2(e).
|
|
CUSIP
Number:
|
|
|
|
|
|
007624307
|
|
|
|
Item
3.
|
If
This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a:
|
|
|
|
(a)
|
☐
|
Broker
or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
|
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(b)
|
☐
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Bank
as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
|
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(c)
|
☐
|
Insurance
company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
|
|
|
|
|
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(d)
|
☐
|
Investment
company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
|
|
|
|
|
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(e)
|
☐
|
An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
|
CUSIP
No
.
|
007624307
|
|
Page
6 of 7
|
|
(f)
|
☐
|
An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
|
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|
|
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(g)
|
☐
|
A parent holding
company or control person in accordance with §240.13d-1(b)(ii)(G);
|
|
|
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(h)
|
☐
|
A savings association
as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
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|
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(i)
|
☐
|
A church plan that
is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
|
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(j)
|
☐
|
Group, in accordance
with §240.13d-1(b)(1)(ii)(J).
|
|
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Item 4.
|
Ownership.
|
|
|
|
Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified
in Item 1.
|
|
|
The
information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth
in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such
Reporting Person. The percentage set forth in Row 11 of the cover page for each Reporting Person is based 17,220,370
shares of Common Stock issued and outstanding as of July 23, 2019, as represented in the Company’s Current Form 424B5 filed
with the Securities and Exchange Commission on July 24, 2019, and assumes the exercise of the Company's reported warrants (the
"
Reported Warrants
") and the conversion of the Company’s reported Pre-Funded Warrants (the “
Pre-Funded
Warrants
”), subject to the Blockers (as defined below).
Pursuant
to the terms of (i) the certificate of designations containing the terms of the Pre-Funded Warrants, the Reporting Persons cannot
convert the Reported Pre-Funded Warrants to the extent the Reporting Persons would beneficially own, after any such conversion,
more than 4.99% of the outstanding shares of Common Stock (the "
Pre-Funded Warrants Blockers
") and (ii) the Reported
Warrants, the Reporting Persons cannot exercise the Reported Warrants to the extent the Reporting Persons would beneficially own,
after any such exercise, more than 4.99% of the outstanding shares of Common Stock (the "
Warrant Blockers
" and
collectively with the Pre-Funded Warrants Blockers, the "
Blockers
"). Consequently, as of the date
of the event which requires the filing of this statement, the Reporting Persons were not able to exercise all of the Reported
Pre-Funded Warrants or any of the Reported Warrants due to the Blockers.
CUSIP
No
.
|
007624307
|
|
Page 7
of 7
|
Item
5.
|
Ownership
of Five Percent or Less of a Class.
|
|
|
|
If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the following ☐
|
|
|
Item 6.
|
Ownership of
More than Five Percent on Behalf of Another Person.
|
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Not applicable
|
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Item 7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control
Person.
|
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|
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Not applicable
|
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Item 8.
|
Identification
and Classification of Members of the Group.
|
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Not applicable
|
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Item 9.
|
Notice of Dissolution
of Group.
|
|
|
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Not applicable
|
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Item 10.
|
Certification.
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than
activities solely in connection with a nomination under § 240.14a-11.
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
|
Dated:
|
July 31, 2019
|
|
|
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|
Altium Capital Management, LP
|
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|
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By:
|
/s/ Jacob Gottlieb
|
|
Name:
|
Jacob Gottlieb
|
|
Title:
|
CEO
|
|
|
|
|
Altium Growth Fund, LP
|
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By: Altium Growth GP, LLC
|
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Its: General Partner
|
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Signature:
|
/s/ Jacob Gottlieb
|
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Name:
|
Jacob Gottlieb
|
|
Title:
|
CEO
|
|
|
|
|
Altium Growth GP, LLC
|
|
|
|
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By:
|
/s/ Jacob Gottlieb
|
|
Name:
|
Jacob Gottlieb
|
|
Title:
|
CEO
|
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