ࡱ> MN 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#܈ ~~83ffff̙̙3f3fff3f3f33333f33&Under the Securities Exchange A&Under the Securities Exchan (1)&`Under the Securities Exchan (2)&R&Under the Securities Exchan (3)&=6Under the Securities Exchan (4)&)FUnder the Securities Exchan (5)&vMUnder the Securities Exchan (6)&|]Under the Securities Exchan (7)&fUnder the Securities Exchan (8)&UtUnder the Securities Exchan (9)&Under the Securities Excha (10)EXHIBIT l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } 1       Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934 Advaxis, Inc. (Name of Issuer)   Common Stock& (Title of Class of Securities) ~ Y(CUSIP Number)December 31, 2019/'(Date of Event Which Requires Filing ofthis Statement)$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/6s|pdX?#xE*=PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } $ } $} m       Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934 ? Rule 13d-1(b)  ?  Rule 13d-1(c)  ?  Rule 13d-1(d)  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$',|pdX&=PF0*8X> @  l  -c!$  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } } $ } } }  -      Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934~ !NAME OF REPORTING PERSONS % Altium Capital Management, LP   2 *I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS ' (ENTITIES ONLY) EIN: 82-2066653~  0 (CHECK THE APPROPRIATE BOX IF A MEMBER OF (a) ?A GROUP (b) ?~  SEC USE ONLY~ ,$CITIZENSHIP OR PLACE OF ORGANIZATION*"Delaware, United States of America NUMBER OF~  SOLE VOTINGSHARES~  BENEFICIALLYOWNED BY EACH REPORTING~ SHARED VOTING POWERPERSON~  WITH:~ SOLE DISPOSITIVE POWER~ ~ " SHARED DISPOSITIVE POWER~ ~ &.&AGGREGATE AMOUNT BENEFICIALLY OWNED BYEACH REPORTING PERSON~ D(l|pdXST|ls !"#$%&'()*+,~ *0 (CHECK BOX IF THE AGGREGATE AMOUNT IN ROW ?!!!9 EXCLUDES CERTAIN SHARES~ ".."&PERCENT OF CLASS REPRESENTED BY AMOUNT"##IN ROW 9$$0% (see item 4)~ %2 %TYPE OF REPORTING PERSON%& &IA'''''()$*____________________________1+)Created by Morningstar Document Research.0,(http://documentresearch.morningstar.com/T4YMA=PF0*8X> @,,++**&&%%$$##""!!      l  -N14  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } } $ } } }  -      Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934~ !NAME OF REPORTING PERSONS  Altium Growth Fund, LP   2 *I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS ' (ENTITIES ONLY) EIN: 82-2105101~  0 (CHECK THE APPROPRIATE BOX IF A MEMBER OF (a) ?A GROUP (b) ?~  SEC USE ONLY~ ,$CITIZENSHIP OR PLACE OF ORGANIZATION*"Delaware, United States of America NUMBER OF~  SOLE VOTINGSHARES~  BENEFICIALLYOWNED BY EACH REPORTING~ SHARED VOTING POWERPERSON~  WITH:~ SOLE DISPOSITIVE POWER~ ~ " SHARED DISPOSITIVE POWER~ ~ &.&AGGREGATE AMOUNT BENEFICIALLY OWNED BYEACH REPORTING PERSON~ D!l|pdXZ[!s%z$ !"#$%&'()*+,~ *0 (CHECK BOX IF THE AGGREGATE AMOUNT IN ROW ?!!!9 EXCLUDES CERTAIN SHARES~ ".."&PERCENT OF CLASS REPRESENTED BY AMOUNT"##IN ROW 9$$0% (see Item 4)~ %2 %TYPE OF REPORTING PERSON%& &PN'''''()$*____________________________1+)Created by Morningstar Document Research.0,(http://documentresearch.morningstar.com/T4YMA=PF0*8X> @,,++**&&%%$$##""!!      l  -8AD  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } } $ } } }  -      Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934~ !NAME OF REPORTING PERSONS  Altium Growth GP, LLC   2 *I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS ' (ENTITIES ONLY) EIN: 82-2086430~  0 (CHECK THE APPROPRIATE BOX IF A MEMBER OF (a) ?A GROUP (b) ?~  SEC USE ONLY~ ,$CITIZENSHIP OR PLACE OF ORGANIZATION*"Delaware, United States of America NUMBER OF~  SOLE VOTINGSHARES~  BENEFICIALLYOWNED BY EACH REPORTING~ SHARED VOTING POWERPERSON~  WITH:~ SOLE DISPOSITIVE POWER~ ~ " SHARED DISPOSITIVE POWER~ ~ &.&AGGREGATE AMOUNT BENEFICIALLY OWNED BYEACH REPORTING PERSON~ D l|pdX[\"t&{% !"#$%&'()*+,~ *0 (CHECK BOX IF THE AGGREGATE AMOUNT IN ROW ?!!!9 EXCLUDES CERTAIN SHARES~ ".."&PERCENT OF CLASS REPRESENTED BY AMOUNT"##IN ROW 9$$0% (see Item 4) *~ %2 %TYPE OF REPORTING PERSON%& &PN'''''()$*____________________________1+)Created by Morningstar Document Research.0,(http://documentresearch.morningstar.com/V4WK?=PF0*8X> @,,++**&&%%$$##""!!      l  L  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } } $ } a/} I"       Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934 Item 1(a).Name of Issuer:$Advaxis, Inc. (the ?Issuer?)      Item 1(b). / 'Address of Issuer?s Principal Executive 305 College Road East   Offices:# Princeton, New Jersey 08540  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@|pdXM=PF0*8X> @ l  +Yu\  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } } } $} 1 +      Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934  Item 2(a).  Name of Person Filing:  1 )This statement is jointly filed by and on  1 )behalf of each of Altium Growth Fund, LP,  1 )Altium Capital Management, LP, and Altium   Growth GP, LLC. Item 2(b).0(Address of Principal Business Office or,if None, Residence:4,The address of the principal business office5-of each of the reporting persons is 551 Fifth%Ave, FL 19 New York, NY 10176 Item 2(c). Citizenship:/'See Item 4 on the cover page(s) hereto. Item 2(d).%Title of Class of Securities: Common Stock Item 2(e).CUSIP Number: 007624307Item 3.>6If This Statement is Filed Pursuant to ??240.13d-1(b),1)or 240.13d-2(b) or (c), Check Whether thePerson Filing is a:Dl|pdX4V \%Cv+n !"#$%&'()*  ! !(a) !?1!)Broker or dealer registered under Section"""&"15 of the Act (15 U.S.C. 78o).####$ $(b) $?1$)Bank as defined in Section 3(a)(6) of the%%%%Act (15 U.S.C. 78c).&'$(____________________________1))Created by Morningstar Document Research.0*(http://documentresearch.morningstar.com/= l`T,=PF0*8X> @**))((      l  e  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } $ } } $} $4       Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934 (c) ?/'Insurance company as defined in Section   , $3(a)(19) of the Act (15 U.S.C. 78c).      (d) ?3 +Investment company registered under Section   3 +8 of the Investment Company Act of 1940 (15    U.S.C. 80a-8). (e) ?0(An investment adviser in accordance with ?240.13d-1(b)(1)(ii)(E);$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0|pdXyQm=PF0*8X> @ l  #rs  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (9)!Under the Securities Excha (10) EXHIBITU } I } } $} y< #      Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934 (f) ?2*An employee benefit plan or endowment fund   3 +in accordance with ?240.13d-1(b)(1)(ii)(F);      (g) ?2 *A parent holding company or control person   0 (in accordance with ?240.13d-1(b)(ii)(G);     (h) ?3+A savings association as defined in Section1)3(b) of the Federal Deposit Insurance Act(12 U.S.C. 1813); (i) ?:2A church plan that is excluded from the definition.&of an investment company under Section.&3(c)(14) of the Investment Company Act(15 U.S.C. 80a-3); (j) ?:2Group, in accordance with ?240.13d-1(b)(1)(ii)(J).Item 4. Ownership.3+As of the close of business on December 31,0(2019, each of the Reporting Persons have/'no beneficial ownership of the Issuer?s Common Stock.Db l|pdXo*`N vF[6 !"$ ____________________________1!)Created by Morningstar Document Research.0"(http://documentresearch.morningstar.com/ (=PF0*8X> @B""!!  l  &~~  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Excha (10) EXHIBITU } y } I; &      Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934Item 5.5-Ownership of Five Percent or Less of a Class. 2 *If this statement is being filed to report 9 1the fact that as of the date hereof the reporting 4 ,person has ceased to be the beneficial owner 1 )of more than five percent of the class of ) !securities, check the following ?Item 6.5-Ownership of More than Five Percent on Behalfof Another Person.Not applicableItem 7.,$Identification and Classification of2*the Subsidiary Which Acquired the Security/'Being Reported on by the Parent Holding"Company or Control Person.Not applicableItem 8.,$Identification and Classification ofMembers of the Group.Not applicableItem 9.'Notice of Dissolution of Group.Not applicableDl|pdX =_5r3S- !"#$% Item 10. Certification.!"$#____________________________1$)Created by Morningstar Document Research.0%(http://documentresearch.morningstar.com/Od=PF0*8X> @%%$$## l  $0e  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9) EXHIBITU } $ }  } + $      Advaxis, Inc.SC 13G/A 02/13/20201)Under the Securities Exchange Act of 1934Dated:February 13, 2020    % Altium Capital Management, LP     By: /s/ Jacob Gottlieb  Name: Jacob GottliebTitle: CEOAltium Growth Fund, LP!By: Altium Growth GP, LLCIts: General Partner Signature:/s/ Jacob Gottlieb Name:Jacob GottliebTitle:,$Managing Member of Altium Growth GP, LLCAltium Growth GP, LLC By:/s/ Jacob Gottlieb Name:Jacob GottliebTitle:Managing MemberDl|pdXg0\0 G r; !"# $!____________________________1")Created by Morningstar Document Research.0#(http://documentresearch.morningstar.com/ <=PF0*8X> @B##""!!  l  #/  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Under the Securities Exchange A!Under the Securities Exchan (1)!Under the Securities Exchan (2)!Under the Securities Exchan (3)!Under the Securities Exchan (4)!Under the Securities Exchan (5)!Under the Securities Exchan (6)!Under the Securities Exchan (7)!Under the Securities Exchan (8)!Under the Securities Exchan (9)!Under the Securities Excha (10)U } $ }  } 0 #      Advaxis, Inc.SC 13G/A 02/13/2020EXHIBITDated:February 13, 2020    % Altium Capital Management, LP     By: /s/ Jacob Gottlieb  Name: Jacob GottliebTitle: CEOAltium Growth Fund, LP!By: Altium Growth GP, LLCIts: General Partner Signature:/s/ Jacob Gottlieb Name:Jacob GottliebTitle:0(Managing Member of Altium Growth GP, LLCAltium Growth GP, LLC By:/s/ Jacob Gottlieb Name:Jacob GottliebTitle:Managing MemberDQlz?R%~R.eAG !"$ ____________________________1!)Created by Morningstar Document Research.0"(http://documentresearch.morningstar.com/ (=PF0*8X> @B""!!   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