o NoneEntity Type
0001100397
GREAT EXPECTATIONS & ASSOCIATES INC
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 Advaxis, Inc.
Jurisdiction of Incorporation/OrganizationDELAWARE 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed 



2. Principal Place of Business and Contact Information
Name of Issuer 
 Advaxis, Inc. 
Street Address 1Street Address 2
 9 DEER PARK DRIVE, SUITE K-1 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 MONMOUTH JUNCTION NEW JERSEY 08852 732-545-1590 



3. Related Persons
Last NameFirst NameMiddle Name
BerlinKenneth
Street Address 1Street Address 2
9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
SidranskyDavid
Street Address 1Street Address 2
c/o Advaxis, Inc.9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
PattonJames
Street Address 1Street Address 2
c/o Advaxis, Inc.9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
AppelRoni
Street Address 1Street Address 2
c/o Advaxis, Inc.9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 
Last NameFirst NameMiddle Name
BermanRichard
Street Address 1Street Address 2
c/o Advaxis, Inc.9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
KhleifSamir
Street Address 1Street Address 2
c/o Advaxis, Inc.9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
GitelmanIgor
Street Address 1Street Address 2
c/o Advaxis, Inc.9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
GutierrezAndres
Street Address 1Street Address 2
c/o Advaxis, Inc.9 Deer Park Drive, Suite K-1
CityState/Province/CountryZIP/Postal Code
Monmouth JunctionNEW JERSEY08852
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 

 


4. Industry Group
o Agriculture Health Care o Retailing
 Banking & Financial Services   x Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance Technology
  o Insurance  o Hospitals & Physicians  o Computers
  o Investing  o Pharmaceuticals  o Telecommunications
  o Investment Banking  o Other Health Care  o Other Technology
  o Pooled Investment Fund

    Travel
  o Other Banking & Financial Services o Manufacturing  o Airlines & Airports
 Real Estate  o Lodging & Conventions
  o Commercial  o Tourism & Travel Services
  o Construction  o Other Travel
  o REITS & Finance o Other
  o Residential 
  o Other Real Estate 
o Business Services 
 Energy 
  o Coal Mining 
  o Electric Utilities 
  o Energy Conservation 
  o Environmental Services 
  o Oil & Gas 
  o Other Energy 


5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
x $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
o Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale 2021-04-14 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests o Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities x Option, Warrant or Other Right to Acquire Another Security
x Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
  


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 3000000 USD

12. Sales Compensation
RecipientRecipient CRD Number o None
 A.G.P./Alliance Global Partners 8361
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 590 MADISON AVENUE, 28TH FLOOR  
City State/Province/CountryZIP/Postal Code
 NEW YORK NEW YORK 10022
State(s) of Solicitation o All States o Foreign/Non-US
 ILLINOIS
 NEW YORK
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 11093521 USD o Indefinite
Total Amount Sold $ 11093521 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
 Amount reflects purchase price of securities sold in concurrent registered offering which were bundled with private placement warrants to purchase up to 14,005,202 shares of the Company's common stock.


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 2


15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$ 0 USD o Estimate
Finders' Fees$ 1104501 USD o Estimate
 
Clarification of Response (if Necessary)
 In connection with the transaction, A.G.P./Alliance Global Partners received placement agent fees in the aggregate amount of $1,104,501.34, which reflects aggregate fees for private placement and concurrent registered offering.


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 0 USD o
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