Statement of Ownership (sc 13g)

Date : 07/31/2019 @ 5:36PM
Source : Edgar (US Regulatory)
Stock : Advaxis Inc (ADXS)
Quote : 0.6944  0.0644 (10.22%) @ 3:24PM

Statement of Ownership (sc 13g)

 

 

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).   Address of Principal Business Office or, if None, Residence:
     
    The address of the principal business office of each of the reporting persons is 551 Fifth Ave, FL 19 New York, NY 10176
     
Item 2(c).   Citizenship:
     
    See Item 4 on the cover page(s) hereto.
     
Item 2(d).   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).
       
  (b) Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
       
  (c) Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
       
  (d) Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
       
  (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);
       
  (g) A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G);
       
  (h) A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
       
  (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);
       
  (j) Group, in accordance with §240.13d-1(b)(1)(ii)(J).
       
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.
   
  Not applicable
   
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
   
  Not applicable
   
Item 8. Identification and Classification of Members of the Group.
   
  Not applicable
   
Item 9. Notice of Dissolution of Group.
   
  Not applicable
   
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
     
  Altium Capital Management, LP
     
  By: /s/ Jacob Gottlieb
  Name: Jacob Gottlieb
  Title: CEO
     
  Altium Growth Fund, LP
     
  By: Altium Growth GP, LLC
  Its: General Partner
     
  Signature: /s/ Jacob Gottlieb
  Name: Jacob Gottlieb
  Title: CEO
     
  Altium Growth GP, LLC
     
  By: /s/ Jacob Gottlieb
  Name: Jacob Gottlieb
  Title: CEO

 

 

     

 

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