ࡱ> HI l \pThe Free Software Foundation B=PF0*8X@"1 Helvetica1Courier1 Courier New1 Courier New1 Helvetica$#,##0_);($#,##0)$#,##0_);[Red]($#,##0)$#,##0.00_);($#,##0.00)$#,##0.00_);[Red]($#,##0.00)-**_($* #,##0_);_($* (#,##0);_($* "-"_);_(@_)*)'_(* #,##0_);_(* (#,##0);_(* "-"_);_(@_)5,2_($* #,##0.00_);_($* (#,##0.00);_($* "-"??_);_(@_)2+/_(* #,##0.00_);_(* (#,##0.00);_(* "-"??_);_(@_)2$#,##0.00;[Red]$#,##0.003$#,##0.00;[Red]($#,##0.00)4$#,##0;[Red]($#,##00)50.00%;[Red](0.00%)6 0%;[Red](0%)7#,##0.00;[Red](#,##0.00)8#,##0;[Red](#,##0)                + ) , *   Ј ~~ ؈ ~~#؈ ~~"؈ ~~ ؈ ~~8#܈ ~~83ffff̙̙3f3fff3f3f33333f33January 21 2020 January 21 2020 (1)SJanuary 21 2020 (2)*1January 21 2020 (3)FJanuary 21 2020 (4)"YJanuary 21 2020 (5)iJanuary 21 2020 (6)qJanuary 21 2020 (7)XzEXHIBIT -LIMITED POWER OF ATTORNEY\JOINT FILING AGREEMENT l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } $} m       Advaxis, Inc.SC 13G 01/30/2020January 21, 2020 o Rule 13d-1(b) x  Rule 13d-1(c) o  Rule 13d-1(d)  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,sM'=PF0*8X> @  l  7S  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } $ } U} $ } ! 7      Advaxis, Inc.SC 13G 01/30/2020January 21, 2020CUSIP No: 007624307  ~ " Names of Reporting Persons   CVI Investments, Inc.  ~ 0 (Check the Appropriate Box if a Member of"a Group (See Instructions) (a) o (b) o~  SEC Use Only~ ,$Citizenship or Place of OrganizationCayman Islands Number of~ Sole Voting PowerShares~  BeneficiallyOwned by~ Shared Voting Power ** Each~ -1 Reporting Person With~ Sole Dispositive Power~ DlsTHu7; mIg !"#$%&'()*+,-./0123456   ~ # Shared Dispositive Power **!!!!!~ !-1"#~ #.#&Aggregate Amount Beneficially Owned by$$$Each Reporting Person%%~ %-1&'~ '0'(Check Box if the Aggregate Amount in Row((6(.(9) Excludes Certain Shares (See Instructions))) )o*+~ +.+&Percent of Class Represented by Amount,,, in Row (9)-- -8.3%./~ /3/+Type of Reporting Person (See Instructions)00 0CO11111123$4____________________________15)Created by Morningstar Document Research.06(http://documentresearch.morningstar.com/2]QL}O'\PD=PF0*8X> @*%66554400//--,,++))((''%%$$##     l  7*)/  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } $ } U} $ } ! 7      Advaxis, Inc.SC 13G 01/30/2020January 21, 2020CUSIP No: 007624307  ~ " Names of Reporting Persons  (  Heights Capital Management, Inc.  ~ 0 (Check the Appropriate Box if a Member of"a Group (See Instructions) (a) o (b) o~  SEC Use Only~ ,$Citizenship or Place of OrganizationDelaware Number of~ Sole Voting PowerShares~  BeneficiallyOwned by~ Shared Voting Power ** Each~ -1 Reporting Person With~ Sole Dispositive Power~ DlsTHj,z0hDb !"#$%&'()*+,-./0123456   ~ # Shared Dispositive Power **!!!!!~ !-1"#~ #.#&Aggregate Amount Beneficially Owned by$$$Each Reporting Person%%~ %-1&'~ '0'(Check Box if the Aggregate Amount in Row((6(.(9) Excludes Certain Shares (See Instructions))) )o*+~ +.+&Percent of Class Represented by Amount,,, in Row (9)-- -8.3%./~ /3/+Type of Reporting Person (See Instructions)00 0CO11111123$4____________________________15)Created by Morningstar Document Research.06(http://documentresearch.morningstar.com/2]QL}O'\PD=PF0*8X> @*%66554400//--,,++))((''%%$$##     l  <<E  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } $ } 7 <      Advaxis, Inc.SC 13G 01/30/2020January 21, 2020Item 1.  (a) Name of Issuer   % Advaxis, Inc. (the ?Company?)  (b)/ 'Address of Issuer?s Principal Executive    Offices   2 *305 College Road East, Princeton, NJ 08540 Item 2(a).Name of Person Filing/'This statement is filed by the entities3+listed below, who are collectively referred.&to herein as ?Reporting Persons,? with0(respect to the shares of common stock of/'the Company, $0.001 par value per share(the ?Shares?)."(i) CVI Investments, Inc.-%(ii) Heights Capital Management, Inc. Item 2(b).0(Address of Principal Business Office or,if none, Residence4,The address of the principal business office$of CVI Investments, Inc. is:P.O. Box 309GTDs ls`+YYP@e#{ !"#$%&'()*+,-./0123456789:;     Ugland House!!!!South Church Street"""" George Town#### Grand Cayman$$$$KY1-1104%%%%Cayman Islands&&&&'''4',The address of the principal business office(((/('of Heights Capital Management, Inc. is:))))****+++)+!101 California Street, Suite 3250,,,',San Francisco, California 94111- Item 2(c).-- Citizenship...6..Citizenship is set forth in Row 4 of the cover///1/)page for each Reporting Person hereto and000/0'is incorporated herein by reference for111#1each such Reporting Person.2 Item 2(d)2$2Title of Class of Securities33303(Common stock, $0.001 par value per share4 Item 2(e)44 CUSIP Number555~ 5Y666678$9____________________________1:)Created by Morningstar Document Research.0;(http://documentresearch.morningstar.com/<F dQxj~E=PF0*8X> @Z ;;::994422--   l  -SX  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } I } } $} I -      Advaxis, Inc.SC 13G 01/30/2020January 21, 2020Item 3.@8If this statement is filed pursuant to ??240.13d-1(b) or . &240.13d-2(b) or (c), check whether the  person filing is a:  (a) o4 ,Broker or dealer registered under Section 15   # of the Act (15 U.S.C. 78o).  (b) o1 )Bank as defined in Section 3(a)(6) of theAct (15 U.S.C. 78c). (c) o80Insurance company as defined in Section 3(a)(19)#of the Act (15 U.S.C. 78c). (d) o5-Investment company registered under Section 81)of the Investment Company Act of 1940 (15U.S.C. 80a-8). (e) o0(An investment adviser in accordance with ?240.13d-1(b)(1)(ii)(E); (f) o2*An employee benefit plan or endowment fund3+in accordance with ?240.13d-1(b)(1)(ii)(F); (g) o2*A parent holding company or control person3+in accordance with ?240.13d-1(b)(1)(ii)(G); (h) o;3A savings association as defined in Section 3(b) of4,the Federal Deposit Insurance Act (12 U.S.C.1813); (i) o:2A church plan that is excluded from the definition7/of an investment company under Section 3(c)(14)1)of the Investment Company Act of 1940 (15D lsSgWdcCK !"#$%&'()*+,    U.S.C. 80a-3);! !(j) !o1!)A non-U.S. institution in accordance with""" "?240.13d-1(b)(1)(ii)(J);# #(k) #o:#2Group, in accordance with Rule 13d-1(b)(1)(ii)(K).$$$9$1If filing as a non-U.S. institution in accordance%%%,%$with ?240.13d-1(b)(1)(ii)(J), please&&&E&=specify the type of institution: ____________________________''''()$*____________________________1+)Created by Morningstar Document Research.0,(http://documentresearch.morningstar.com/HeVeYM%=PF0*8X> @2,,++**   l  5bh  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (6)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } I } 6 5      Advaxis, Inc.SC 13G 01/30/2020January 21, 2020Item 4. Ownership3 +Provide the following information regarding. &the aggregate number and percentage of8 0the class of securities of the issuer identified  in Item 1. 0(The information required by Items 4(a) ?4,(c) is set forth in Rows 5 ? 11 of the cover1)page for each Reporting Person hereto and/'is incorporated herein by reference for#each such Reporting Person./'The Company?s Prospectus Supplement (to6.Prospectus dated August 30, 2018, Registration3+No. 333-226988), filed on January 21, 2020,.&indicates there were 60,221,263 Shares0(outstanding (excluding Shares underlying3+warrants issued at the same time) as of the0(completion of the offering of the Sharesreferred to therein./'Heights Capital Management, Inc., which/'serves as the investment manager to CVI2*Investments, Inc., may be deemed to be theD@lsKP}Js< !"#$%&'()*+,-./01234/ 'beneficial owner of all Shares owned by3!+CVI Investments, Inc. Each of the Reporting/"'Persons hereby disclaims any beneficial0#(ownership of any such Shares, except for)$!their pecuniary interest therein.%&Item 5.4&,Ownership of Five Percent or Less of a Class2'*If this statement is being filed to report9(1the fact that as of the date hereof the reporting4),person has ceased to be the beneficial owner1*)of more than five percent of the class of*+"securities, check the following: o,-Item 6.5--Ownership of More than Five Percent on Behalf..of Another Person/Not applicable.01$2____________________________13)Created by Morningstar Document Research.04(http://documentresearch.morningstar.com/.Lc/u8E=PF0*8X> @"443322//++**))((''$$##""!!      l  p  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } I } 2       Advaxis, Inc.SC 13G 01/30/2020January 21, 2020Item 7.,$Identification and Classification of 2 *the Subsidiary Which Acquired the Security / 'Being Reported on by the Parent Holding ! Company or Control Person Not applicable. Item 8.,$Identification and Classification ofMembers of the GroupNot applicable.Item 9.&Notice of Dissolution of GroupNot applicable.$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/64s0~cWi]Q)=PF0*8X> @2  l  y  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6) EXHIBITLIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } } a} $ } } a       Advaxis, Inc.SC 13G 01/30/2020January 21, 2020CVI INVESTMENTS, INC.( HEIGHTS CAPITAL MANAGEMENT, INC.   5 -By: Heights Capital Management, Inc. pursuant  By: /s/ Brian Sopinsky1 )to a Limited Power of Attorney, a copy of- %which is attached as Exhibit I hereto  Name: Brian Sopinsky   Title: Secretary By:/s/ Brian SopinskyName: Brian SopinskyTitle: Secretary$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/2sOyA =PF0*8X> @b       l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7)LIMITED POWER OF ATTORNEYJOINT FILING AGREEMENTU } I } $ }        Advaxis, Inc.SC 13G 01/30/2020EXHIBITEXHIBIT DESCRIPTION I ! Limited Power of Attorney II  Joint Filing Agreement  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,|F=PF0*8X> @  l  υ  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7) EXHIBITJOINT FILING AGREEMENTU } $ } }        Advaxis, Inc.SC 13G 01/30/2020!LIMITED POWER OF ATTORNEYCVI Investments, Inc.      By: /s/ William Walmsley  " William Walmsley, Director $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(}Tvj=% |T=PF0*8X> @" l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? January 21 2020January 21 2020 (1)January 21 2020 (2)January 21 2020 (3)January 21 2020 (4)January 21 2020 (5)January 21 2020 (6)January 21 2020 (7) EXHIBITLIMITED POWER OF ATTORNEYU } } a} $ } } a       Advaxis, Inc.SC 13G 01/30/2020JOINT FILING AGREEMENTCVI INVESTMENTS, INC.( HEIGHTS CAPITAL MANAGEMENT, INC.   5 -By: Heights Capital Management, Inc. pursuant  By: /s/ Brian Sopinsky& to a Limited Power of Attorney  Name: Brian Sopinsky   Title: Secretary By: /s/ Brian Sopinsky  Name: Brian SopinskyTitle: Secretary$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0Zym~(wC=PF0*8X> @Z      Root Entry FBook  ˎ  !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFG