Small Company Offering and Sale of Securities Without Registration (d)
April 28 2021 - 4:10PM
Edgar (US Regulatory)
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NoneEntity Type | 0001100397 | GREAT EXPECTATIONS & ASSOCIATES INC |
x
Corporation
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Limited Partnership
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Limited Liability Company
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General Partnership
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Business Trust
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Other |
Name of Issuer |
Advaxis, Inc. |
Jurisdiction of Incorporation/Organization |
DELAWARE |
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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 |
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 |
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| 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: |
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| 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 |
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| Director |
o
| Promoter |
Clarification of Response (if Necessary) |
| |
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| Agriculture | | Health Care |
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| Retailing |
| Banking & Financial Services | |
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| Biotechnology |
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| Restaurants |
|
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| Commercial Banking | |
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| Health Insurance | | Technology |
|
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| Insurance | |
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| Hospitals & Physicians | |
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| Computers |
|
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| Investing | |
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| Pharmaceuticals | |
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| Telecommunications |
|
o
| Investment Banking | |
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| Other Health Care | |
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| Other Technology |
|
o
| Pooled Investment Fund
| | | | | Travel |
|
o
| Other Banking & Financial Services |
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| Manufacturing | |
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| Airlines & Airports |
| Real Estate | |
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| Lodging & Conventions |
|
o
| Commercial | |
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| Tourism & Travel Services |
|
o
| Construction | |
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| Other Travel |
|
o
| REITS & Finance |
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| Other |
|
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| Residential | |
|
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| Other Real Estate | |
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| Business Services | |
| Energy | |
|
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| Coal Mining | |
|
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| Electric Utilities | |
|
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| Energy Conservation | |
|
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| Environmental Services | |
|
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| Oil & Gas | |
|
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| Other Energy | |
Revenue Range | Aggregate Net Asset Value Range |
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| No Revenues |
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| No Aggregate Net Asset Value |
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| $1 - $1,000,000 |
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| $1 - $5,000,000 |
x
| $1,000,001 - $5,000,000 |
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| $5,000,001 - $25,000,000 |
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| $5,000,001 - $25,000,000 |
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| $25,000,001 - $50,000,000 |
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| $25,000,001 - $100,000,000 |
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| $50,000,001 - $100,000,000 |
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| Over $100,000,000 |
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| Over $100,000,000 |
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| Decline to Disclose |
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| Decline to Disclose |
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| Not Applicable |
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| 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 |
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| 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) |
x
| New Notice | Date of First Sale | 2021-04-14 |
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| First Sale Yet to Occur |
Does the Issuer intend this offering to last more than one year? |
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| Yes |
x
| No |
9. Type(s) of Securities Offered (select all that apply) |
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| Pooled Investment Fund Interests |
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| Equity |
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| Tenant-in-Common Securities |
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| Debt |
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| 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 |
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| 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? |
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| Yes |
x
| No |
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Clarification of Response (if Necessary) | |
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Minimum investment accepted from any outside investor | $ 3000000 USD |
Recipient | Recipient CRD Number |
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| 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 |
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| All States |
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| Foreign/Non-US |
ILLINOIS NEW YORK |
13. Offering and Sales Amounts |
Total Offering Amount | $ 11093521 USD |
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Indefinite |
Total Amount Sold | $ 11093521 USD | |
Total Remaining to be Sold | $ 0 USD |
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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. |
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| 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
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| 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.
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Sales Commissions | $ 0 USD |
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| Estimate |
Finders' Fees | $ 1104501 USD |
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| Estimate |
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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. |
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.
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| $ 0 USD |
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