Current Report Filing (8-k)

Date : 07/31/2019 @ 8:19PM
Source : Edgar (US Regulatory)
Stock : Advaxis Inc (ADXS)
Quote : 0.78  0.15 (23.81%) @ 8:34PM

Current Report Filing (8-k)

 

 

 

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): July 31, 2019 (July 25, 2019)

 

ADVAXIS, INC.

(Exact Name of Registrant as Specified in Charter)

 

Delaware   001-36138   02-0563870

(State or Other Jurisdiction

of Incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

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:

 

[  ] Written communications pursuant to Rule 425 under the Securities Act.
   
[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act.
   
[  ] Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act.
   
[  ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.

 

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 3.03. Material Modification to Rights of Security Holders.

 

On July 25, 2019, the exercise price of warrants issued by the Company in September 2018 (the “Warrants”) was reduced from $0.248 per Warrant (or $3.72 per full share of the Company’s common stock, $0.001 par value per share (the “Common Stock”)) to $0.0248 per Warrant (or $0.372 per full share of Common Stock). The reduction was the result of issuance of the Company’s common stock in its previously announced public offering. The full text of the notice of reduction in the exercise price of the Warrants is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

 

The following exhibits are filed as part of this report:

 

Exhibit Number   Description
     
99.1   Notice of Reduction in Exercise Price of Warrants.

 

     
 

 

SIGNATURES

 

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.

 

  ADVAXIS, INC.
     
Date: July 31, 2019 By: /s/ Molly Henderson
    Molly Henderson
    Executive Vice President and Chief Financial Officer

 

     
 

 

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