Current Report Filing (8-k)
May 05 2020 - 4:06PM
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): May 4, 2020
ADVAXIS,
INC.
|
(Exact
name of registrant as specified in its 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)
|
|
(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 Global Select
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”) held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”) on May 4, 2020.
At the Annual Meeting, the following matters were submitted to a vote of stockholders:
|
1.
|
The election of six (6) directors
to serve until the Company’s 2021 Annual Meeting of Stockholders, or until their respective successors shall have been
duly elected and qualified;
|
|
|
|
|
2.
|
The approval of an amendment to the Company’s
2015 Incentive Plan (the “Incentive Plan”) to increase the number of shares available for issuance pursuant to
awards granted thereunder from 877,744 shares to 6,000,000 shares;
|
|
|
|
|
3.
|
The approval of the compensation of the Company’s
named executive officers, on an advisory basis; and
|
|
|
|
|
4.
|
The ratification of the appointment of Marcum
LLP as the Company’s independent registered public accounting firm for the fiscal year ending October 31, 2020.
|
At
the close of business on March 6, 2020, the record date for the determination of stockholders entitled to vote at the Annual Meeting,
there were 60,245,793 shares of the Company’s Common Stock outstanding and entitled to vote at the Annual Meeting. The holders
of 40,865,409 shares of the Company’s Common Stock were represented virtually or by proxy at the Annual Meeting, constituting
a quorum.
At
the Annual Meeting, (i) the six directors were elected, (ii) the amendment to the Incentive Plan was approved, (iii) the compensation
of the Company’s named executive officers was approved, on an advisory basis, and (iv) the appointment of the Company’s
independent registered public accounting firm for the fiscal year ending October 31, 2020 was ratified.
Proposal
No. 1— Election of Directors
The
vote with respect to the election of directors was as follows:
Nominees
|
|
For
|
|
Against
|
|
Abstain
|
|
Broker
Non-Votes
|
Roni A. Appel
|
|
10,562,794
77.36%
|
|
2,304,111
16.87%
|
|
785,435
5.75%
|
|
27,213,069
|
Kenneth A. Berlin
|
|
11,667,416
85.46%
|
|
1,248,247
9.14%
|
|
736,677
5.39%
|
|
27,213,069
|
Richard J. Berman
|
|
8,969,968
65.70%
|
|
3,940,640
28.86%
|
|
741,732
5.43%
|
|
27,213,069
|
Dr. Samir N. Khleif
|
|
9,138,381
66.93%
|
|
3,740,520
27.39%
|
|
773,439
5.66%
|
|
27,213,069
|
Dr. James P. Patton
|
|
10,877,853
79.67%
|
|
2,049,055
15.00%
|
|
725,432
5.31%
|
|
27,213,069
|
Dr. David Sidransky
|
|
9,236,727
67.65%
|
|
3,692,986
27.05%
|
|
722,627
5.29%
|
|
27,213,069
|
Proposal
No. 2 — Amendment to Incentive Plan
The
vote to approve an amendment of the Company’s 2015 Incentive Plan to increase the number of shares available for issuance
pursuant to awards granted thereunder from 877,744 shares to 6,000,000 shares was as follows:
For
|
|
Against
|
|
Abstain
|
|
Broker Non-Votes
|
7,102,017
|
|
6,396,326
|
|
153,997
|
|
27,213,069
|
52.02%
|
|
46.85%
|
|
1.12%
|
|
|
Proposal
No. 3 — Say-on-Pay
The
vote with respect to the approval of the compensation of the Company’s named executive officers, on an advisory basis, was
as follows:
For
|
|
Against
|
|
Abstain
|
|
Broker Non-Votes
|
6,917,893
|
|
6,236,527
|
|
497,920
|
|
27,213,069
|
50.67%
|
|
45.68%
|
|
3.64%
|
|
|
Proposal
No. 4 — Ratification of the Appointment of Independent Registered Public Accounting Firm
The
vote with respect to the ratification of the appointment of Marcum LLP as the Company’s independent registered public accounting
firm for the fiscal year ending October 31, 2020 was as follows:
For
|
|
Against
|
|
Abstain
|
38,764,748
|
|
886,983
|
|
1,213,678
|
94.85%
|
|
2.17%
|
|
2.96%
|
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.
May 5, 2020
|
ADVAXIS, INC.
|
|
|
|
|
By:
|
/s/ Molly Henderson
|
|
Name:
|
Molly Henderson
|
|
Title:
|
Executive Vice President and Chief Financial
Officer
|
Ayala Pharmaceuticals (CE) (USOTC:ADXS)
Historical Stock Chart
From Aug 2024 to Sep 2024
Ayala Pharmaceuticals (CE) (USOTC:ADXS)
Historical Stock Chart
From Sep 2023 to Sep 2024