Current Report Filing (8-k)
October 04 2019 - 4:32PM
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): October 4, 2019
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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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
symbol(s)
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Name
of each exchange on which registered
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Common
stock, par value $0.001 per share
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ADXS
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Nasdaq
Global Select Market
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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
8.01 Other Events.
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
Some
of the statements included in this report may be forward-looking statements that involve a number of risks and uncertainties.
For those statements, we claim the protection of the safe harbor for forward-looking statements contained in the Private Securities
Litigation Reform Act of 1995. The factors that could cause our actual results to differ materially include: the impact of the
discontinuation on relationships related to the Aim2Cerv Study; the success and timing of our clinical trials, including subject
accrual; our ability to avoid and quickly resolve any clinical holds; our ability to obtain and maintain regulatory approval and/or
reimbursement of our product candidates for marketing; our ability to obtain the appropriate labeling of our products under any
regulatory approval; our plans to develop and commercialize our products; the successful development and implementation of our
sales and marketing campaigns; the size and growth of the potential markets for our product candidates and our ability to serve
those markets; our ability to successfully compete in the potential markets for our product candidates, if commercialized; regulatory
developments in the United States and other countries; the rate and degree of market acceptance of any of our product candidates;
new products, product candidates or new uses for existing products or technologies introduced or announced by our competitors
and the timing of these introductions or announcements; market conditions in the pharmaceutical and biotechnology sectors; our
available cash, including to support current and planned clinical activities; the accuracy of our estimates regarding expenses,
future revenues, capital requirements and needs for additional financing; our ability to obtain additional funding; our ability
to obtain and maintain intellectual property protection for our product candidates; the success and timing of our preclinical
studies including IND-enabling studies; the timing of our IND submissions; our ability to get FDA approval for study amendments;
the timing of data read-outs; the ability of our product candidates to successfully perform in clinical trials; our ability to
initiate, enroll, and execute pilots and clinical trials; our ability to maintain our existing collaborations; our ability to
manufacture and the performance of third-party manufacturers; the performance of our clinical research organizations, clinical
trial sponsors and clinical trial investigators; our ability to successfully implement our strategy; and, other risk factors identified
from time to time in our reports filed with the SEC. Any forward-looking statements set forth in this press release speak only
as of the date of this press release. We do not intend to update any of these forward-looking statements to reflect events or
circumstances that occur after the date hereof.
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:
October 4, 2019
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By:
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/s/
Molly Henderson
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Molly
Henderson
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Executive
Vice President and Chief Financial Officer
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