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