Current Report Filing (8-k)
March 13 2020 - 4:01PM
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): March 13, 2020
ADVAXIS,
INC.
|
(Exact
name of registrant as specified in its charter)
|
Delaware
|
|
001-36138
|
|
02-0563870
|
(State
or other jurisdiction
of
incorporation)
|
|
(Commission
File
Number)
|
|
(IRS
Employer
Identification
No.)
|
305
College Road East
Princeton,
New Jersey
|
|
08540
|
(Address
of principal executive offices)
|
|
(Zip
Code)
|
Registrant’s
telephone number, including area code: (609) 452-9813
|
(Former
name or former address, if changed since last report.)
|
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 (see General Instruction A.2. below):
[ ]
|
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
|
|
[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
|
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
|
|
[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
Symbol(s)
|
|
Name
of each exchange on which registered
|
Common
stock, par value $0.001 per share
|
|
ADXS
|
|
Nasdaq
Global Select Market
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Indicate
by check mark whether the registrant is an emerging growth company as defined in 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 March 13, 2020,
Advaxis, Inc. (the “Company”) issued a press release announcing financial results for the first fiscal quarter ended
January 31, 2020 and providing a business update. A copy of that press release is being furnished as Exhibit 99.1 to this report.
The information furnished
under this Item 2.02, including the accompanying Exhibit 99.1, shall not be deemed to be “filed” for the purposes
of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”), or otherwise subject to the liability of
such section, nor shall such information be deemed to be incorporated by reference in any subsequent filing by the Company under
the Securities Act of 1933 or the Exchange Act, regardless of the general incorporation language of such filing, except as specifically
stated in such filing.
Item
9.01
|
Financial
Statements and Exhibits.
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(d)
The following exhibits are filed as part of this report:
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
March
13, 2020
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ADVAXIS,
INC.
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|
|
|
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By:
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/s/
Molly Henderson
|
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Name:
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Molly
Henderson
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Title:
|
Executive
Vice President and Chief Financial Officer
|
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