Current Report Filing (8-k)
February 21 2018 - 4:17PM
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):
February 21, 2018
ADVAXIS,
INC.
(Exact
Name of Registrant as Specified in Charter)
Delaware
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001-36138
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02-0563870
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(State
or Other Jurisdiction
of
Incorporation)
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(Commission
File
Number)
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(IRS
Employer
Identification
No.)
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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:
[ ]
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Written
communications pursuant to Rule 425 under the Securities Act.
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act.
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2b under the Exchange Act.
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act.
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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
2.02 Results of Operations and Financial Condition
On
February 21, 2018, Advaxis, Inc. (the “Company”) disclosed that, although it has not finalized its full financial results for the
fiscal quarter ended January 31, 2018, it expects to report that it had $59.4 million of cash, cash equivalents and
investments as of January 31, 2018. The amount is preliminary, has not been audited and is subject to change upon completion
of the Company’s unaudited financial statements for the quarter ended January 31, 2018. Additional information and
disclosures would be required for a more complete understanding of the Company’s financial position and results of
operations as of January 31, 2018.
The
information provided pursuant to this Item 2.02 is “furnished” and shall not be deemed to be “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of
that Section or of Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”), and shall not be incorporated by
reference into any filing with the SEC made by the Company, whether made before or after the date hereof, regardless of any
general incorporation language in such filing.
Attached
hereto as Exhibit 99.1 and incorporated herein by reference is a PowerPoint presentation, including a corporate overview of the Company, which will be made available on its website at www.advaxis.com.
Forward-Looking
Statements
This
report contains forward-looking statements, including, but not limited to, statements regarding the Company’s
ability and strategies to develop and commercialize cancer immunotherapies, timing of planned clinical trials and
regulatory milestones
,
potential partnership opportunities and the safety and
efficacy of the Company’s proprietary immunotherapies. These forward-looking statements are subject to a number of
risks including the risk factors set forth from time to time in the Company’s SEC filings including, but not limited
to, its report on Form 10-K for the fiscal year ended October 31, 2017, which is available at www.sec.gov. Any
forward-looking statements set forth in this report speak only as of the date of this report. We do not intend to update any
of these forward-looking statements to reflect events or circumstances that occur after the date hereof other than as
required by law. You are cautioned not to place undue reliance on any forward-looking statements. Information contained on the
Company’s website does not constitute part of this report.
Item
9.01. Financial Statements and Exhibits.
(d)
Exhibits.
The
following exhibit is furnished as part of this report:
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed
on its behalf by the undersigned hereunto duly authorized.
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ADVAXIS,
INC.
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(Registrant)
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Date:
February 21, 2018
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By:
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/s/
Sara Bonstein
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Sara
Bonstein
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Executive
Vice President and Chief Financial Officer
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