0001144204-12-031331.txt : 20120522
0001144204-12-031331.hdr.sgml : 20120522
20120522172132
ACCESSION NUMBER: 0001144204-12-031331
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120518
FILED AS OF DATE: 20120522
DATE AS OF CHANGE: 20120522
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MOORE THOMAS A
CENTRAL INDEX KEY: 0001200699
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-28489
FILM NUMBER: 12862392
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Advaxis, Inc.
CENTRAL INDEX KEY: 0001100397
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 841521955
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
BUSINESS ADDRESS:
STREET 1: TECHNOLOGY CENTRE OF NEW JERSEY
STREET 2: 675 ROUTE 1
CITY: NORTH BRUNSWICK
STATE: NJ
ZIP: 08902
BUSINESS PHONE: 732 545 1590
MAIL ADDRESS:
STREET 1: TECHNOLOGY CENTRE OF NEW JERSEY
STREET 2: 675 ROUTE 1
CITY: NORTH BRUNSWICK
STATE: NJ
ZIP: 08902
FORMER COMPANY:
FORMER CONFORMED NAME: GREAT EXPECTATIONS & ASSOCIATES INC
DATE OF NAME CHANGE: 19991203
4
1
v314216_4.xml
OWNERSHIP DOCUMENT
X0305
4
2012-05-18
0
0001100397
Advaxis, Inc.
ADXS
0001200699
MOORE THOMAS A
C/O ADVAXIS, INC.,
305 COLLEGE ROAD EAST
PRINCETON
NJ
08540
1
1
0
0
CHAIRMAN / CEO
Convertible Promissory Note
0.15
2012-05-18
4
A
0
120000
A
2013-05-18
Common Stock
800000
120000
D
Common Stock Warrants (right to buy)
0.15
2012-05-18
4
A
0
400000
A
2017-05-18
Common Stock
400000
400000
D
Immediately
Pursuant to that certain Note Purchase Agreement, dated as of May 14, 2012, by and among Advaxis, Inc. (the "Company") and certain accredited investors, including Mr. Moore, the Company issued $120,000.00 of its convertible promissory notes (the "Notes") to Mr. Moore for a purchase price of $90,000.00. Additionally, Mr. Moore received a warrant to purchase such number of shares of the Company's common stock equal to 50% of such number of shares of the Company's common stock issuable upon conversion of the Note at an exercise price of $0.15 per share.
/s/ Thomas A. Moore
2012-05-22