o None
Entity 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/Organization
DELAWARE
 
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 1 Street Address 2
 9 DEER PARK DRIVE, SUITE K-1  
City State/Province/Country ZIP/Postal Code Phone No. of Issuer
 MONMOUTH JUNCTION  NEW JERSEY  08852  732-545-1590 



3. Related Persons
Last Name First Name Middle Name
Berlin Kenneth
Street Address 1 Street Address 2
9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Sidransky David
Street Address 1 Street Address 2
c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Patton James
Street Address 1 Street Address 2
c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Appel Roni
Street Address 1 Street Address 2
c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 
Last Name First Name Middle Name
Berman Richard
Street Address 1 Street Address 2
c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Khleif Samir
Street Address 1 Street Address 2
c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Gitelman Igor
Street Address 1 Street Address 2
c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last Name First Name Middle Name
Gutierrez Andres
Street Address 1 Street Address 2
c/o Advaxis, Inc. 9 Deer Park Drive, Suite K-1
City State/Province/Country ZIP/Postal Code
Monmouth Junction NEW JERSEY 08852
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 Range Aggregate 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
Recipient Recipient 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 1 Street Address 2
 590 MADISON AVENUE, 28TH FLOOR   
City State/Province/Country ZIP/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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