# EDGAR Filing Document

**Accession Number:** 0001100397
**File Stem:** 0001493152-23-001295
**Filing Date:** 2023-1
**Character Count:** 4851
**Document Hash:** afc62b0a4ddf249727dd3f3867fa547f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-001295.hdr.sgml**: 20230112

**ACCESSION NUMBER**: 0001493152-23-001295

**CONFORMED SUBMISSION TYPE**: 425

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230112

**DATE AS OF CHANGE**: 20230112

**SUBJECT COMPANY**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 425
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36138
- **FILM NUMBER:** 23526000

**BUSINESS ADDRESS:**
- **STREET 1:** 9 DEER PARK DRIVE
- **STREET 2:** SUITE K-1
- **CITY:** MONMOUTH JUNCTION
- **STATE:** NJ
- **ZIP:** 08852
- **BUSINESS PHONE:** 732 545 1590

**MAIL ADDRESS:**
- **STREET 1:** 9 DEER PARK DRIVE
- **STREET 2:** SUITE K-1
- **CITY:** MONMOUTH JUNCTION
- **STATE:** NJ
- **ZIP:** 08852

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GREAT EXPECTATIONS & ASSOCIATES INC
- **DATE OF NAME CHANGE:** 19991203
**FILED BY**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 425

**BUSINESS ADDRESS:**
- **STREET 1:** 9 DEER PARK DRIVE
- **STREET 2:** SUITE K-1
- **CITY:** MONMOUTH JUNCTION
- **STATE:** NJ
- **ZIP:** 08852
- **BUSINESS PHONE:** 732 545 1590

**MAIL ADDRESS:**
- **STREET 1:** 9 DEER PARK DRIVE
- **STREET 2:** SUITE K-1
- **CITY:** MONMOUTH JUNCTION
- **STATE:** NJ
- **ZIP:** 08852

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GREAT EXPECTATIONS & ASSOCIATES INC
- **DATE OF NAME CHANGE:** 19991203

**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): <u>January 10, 2023</u> 

**ADVAXIS, INC.**

(Exact name of registrant as specified in its charter)

<u>Delaware</u> <u>001-36138</u> <u>02-0563870</u> <br> (State or other jurisdiction (Commission (IRS Employer <br> of incorporation) File Number) Identification No.)

<u>9 Deer Park Drive, Suite K-1 Monmouth Junction, NJ</u> <u>08852</u> <br> (Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code: <u>(609) 452-9813</u>

(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)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act: None.

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 8.01. Other Events.** 

On January 10, 2023, Advaxis, Inc. (the "Company") was notified by the OTC Markets Group Inc., that its market capitalization has stayed below $5 million for the past 30 consecutive calendar days and no longer meets the Standards for Continued Qualification for the OTCQX U.S. tier as per the OTCQX Rules for U.S. Companies section 3.2.b.2. If the Company's market capitalization has not stayed at or above $5 million for ten consecutive trading days by July 10, 2023, then its common stock will be moved from OTCQX to the OTCQB market.

**<u>SIGNATURE</u>**

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.

---

| | | |
|:---|:---|:---|
| January 12, 2023 | **ADVAXIS, INC**. | **ADVAXIS, INC**. |
|  | By: | */s/ Kenneth A. Berlin* |
|  | Name: | Kenneth A. Berlin |
|  | Title: | President and Chief Executive Officer |

---