IPO registrations (S-1, F-1) · Registrants
Ayala Pharmaceuticals, Inc.
- SEC CIK
- 1100397 · filings on EDGAR ↗
- Name on the registration
- Advaxis, Inc.
- Former names
- Advaxis, Inc. (2005–2023); GREAT EXPECTATIONS & ASSOCIATES INC (1999–2005)
- Registration
- Form S-1, first filed 2009-10-22, last 2022-06-13; 14 initial registrations, 13 amendments
- Outcome
- Final prospectus filed 2019-07-24; declared effective 2009-11-06; withdrawal requested 2012-12-05
- Industry (SIC)
- Pharmaceutical Preparations 2834
- Incorporated in
- DE
- Business address
- 9 DEER PARK DRIVE, SUITE K-1, Monmouth Junction, NJ 08852
- EIN
- 84-1521955
- EDGAR entity type
- operating
- Insiders and CEO pay
- Ayala Pharmaceuticals, Inc. on the corporate pages
On this site
- Form D issuer: Ayala Pharmaceuticals, Inc. EXACT (CIK (EXACT))
- SEC filer: Advaxis, Inc. EXACT (CIK (EXACT))
- Person page: Anthony A Lombardo Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Kenneth A Berlin Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
Filings 56
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2009-10-22 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-09-054206 ↗ |
| 2009-11-06 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-09-057021 ↗ |
| 2009-11-06 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-09-003091 ↗ |
| 2010-03-05 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-10-000664 ↗ |
| 2010-07-23 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-10-039199 ↗ |
| 2010-07-30 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-10-002314 ↗ |
| 2011-02-28 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-11-000554 ↗ |
| 2011-02-28 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-11-000556 ↗ |
| 2011-04-07 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-11-020779 ↗ |
| 2011-06-07 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-11-034419 ↗ |
| 2011-06-22 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-11-037049 ↗ |
| 2011-06-24 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-11-001955 ↗ |
| 2011-06-27 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-11-037558 ↗ |
| 2011-07-11 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-11-002095 ↗ |
| 2011-11-23 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-11-066846 ↗ |
| 2011-12-08 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-11-003496 ↗ |
| 2012-01-27 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-12-004405 ↗ |
| 2012-02-06 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-000400 ↗ |
| 2012-03-08 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-000657 ↗ |
| 2012-03-08 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-000660 ↗ |
| 2012-03-08 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-000661 ↗ |
| 2012-08-31 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-12-049289 ↗ |
| 2012-08-31 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-12-049323 ↗ |
| 2012-09-11 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-12-050654 ↗ |
| 2012-09-11 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-12-050663 ↗ |
| 2012-09-13 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-002735 ↗ |
| 2012-09-13 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-002736 ↗ |
| 2012-11-14 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-12-061820 ↗ |
| 2012-11-14 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-12-061823 ↗ |
| 2012-12-05 | RW | RW (withdrawal request) | Advaxis, Inc. | 0001144204-12-066486 ↗ |
| 2012-12-07 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-12-067027 ↗ |
| 2012-12-12 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-12-067540 ↗ |
| 2012-12-12 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-12-067661 ↗ |
| 2012-12-12 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-003522 ↗ |
| 2012-12-13 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-12-003531 ↗ |
| 2013-05-15 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001144204-13-029718 ↗ |
| 2013-09-27 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-13-052899 ↗ |
| 2013-10-15 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001144204-13-055016 ↗ |
| 2013-10-16 | S-1MEF | S-1MEF (added securities) | Advaxis, Inc. | 0001144204-13-055491 ↗ |
| 2013-10-16 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-13-002983 ↗ |
| 2014-03-04 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-14-000584 ↗ |
| 2015-01-26 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-15-000192 ↗ |
| 2015-04-27 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-15-001025 ↗ |
| 2017-03-20 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-17-000597 ↗ |
| 2018-08-30 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-18-002252 ↗ |
| 2019-07-02 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001493152-19-010182 ↗ |
| 2019-07-17 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001493152-19-010710 ↗ |
| 2019-07-22 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001493152-19-010915 ↗ |
| 2019-07-22 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-19-001661 ↗ |
| 2019-07-24 | 424B4 | 424B4 (final prospectus) | Advaxis, Inc. | 0001493152-19-011036 ↗ |
| 2021-10-20 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-21-003957 ↗ |
| 2022-05-12 | S-1 | S-1 (registration) | Advaxis, Inc. | 0001493152-22-013066 ↗ |
| 2022-05-24 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001493152-22-014870 ↗ |
| 2022-06-13 | S-1/A | S-1/A (amendment) | Advaxis, Inc. | 0001493152-22-016494 ↗ |
| 2022-06-27 | RW | RW (withdrawal request) | Advaxis, Inc. | 0001493152-22-017798 ↗ |
| 2022-12-12 | EFFECT | EFFECT (declared effective) | Advaxis, Inc. | 9999999995-22-003518 ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| BERMAN RICHARD J | Director | 24 | 2006–2020 | ||
| COBB FREDRICK D | Officer | Vice President Finance; Vice President of Finance | 5 | 2006–2009 | |
| MCKEARN THOMAS J | Director | 18 | 2006–2017 | ||
| PATTON JAMES P | Director | 21 | 2006–2020 | ||
| ROTHMAN JOHN F | Officer | Exec VP of Science and Ops; VP Clinical Development; VP of Clinical Development | 7 | 2006–2011 | |
| WADE MARTIN R III | Director | 1 | 2006 | ||
| MOORE THOMAS A | Director; Director,Officer; Other | CEO, Chairman of the Board; CHAIRMAN / CEO | 18 | 2006–2014 | |
| APPEL RONI | Director; Director,TenPercentOwner | 23 | 2007–2020 | ||
| Rosenblum Mark J | Officer | CFO, Senior VP & Secretary; CFO, SVP and Secretary; Chief Financial Officer | 10 | 2010–2014 | |
| O'Connor Daniel | Director,Officer; Officer | Chief Executive Officer; SVP, Legal & Business Dev Off | 57 | 2013–2017 | |
| PETIT ROBERT | Officer | Chief Scientific Officer | 63 | 2013–2018 | |
| FRENCH CHRISTY LEE | Officer | Exec. Dir. of Medical Affairs; VP-Regulatory, Medical Affairs | 13 | 2013–2015 | |
| SIDRANSKY DAVID | Director | 16 | 2013–2023 | ||
| Mayes, Gregory T. | Director; Director,Officer; Officer | Cheif Operating Officer; Chief Business Officer; Chief Operating Officer | 44 | 2013–2017 | |
| Bonstein Sara | Director,Officer; Officer | Chief Financial Officer | 55 | 2014–2018 | |
| Khleif Samir N | Director | 10 | 2014–2020 | ||
| Mauro David J | Officer | Chief Medical Officer | 19 | 2014–2016 | |
| Adage Capital Advisors, L.L.C. | TenPercentOwner | 6 | 2014–2017 | ||
| ADAGE CAPITAL PARTNERS GP LLC | TenPercentOwner | 6 | 2014–2017 | ||
| Adage Capital Partners, L.P. | TenPercentOwner | 6 | 2014–2017 | ||
| Atchinson Robert | TenPercentOwner | 6 | 2014–2017 | ||
| Gross Phillip | TenPercentOwner | 6 | 2014–2017 | ||
| Ridge Thomas J | Director | 5 | 2015–2017 | ||
| LOMBARDO ANTHONY A | Officer | Interim CEO | 5 | 2017–2018 | person page Fuzzy |
| Berlin Kenneth A | Director,Officer; Officer | President and CEO; President & CEO | 7 | 2018–2020 | person page Fuzzy |
| Gutierrez Andres | Officer | Executive Vice President & CMO; Exec VP, Chief Medical Officer | 6 | 2018–2020 | |
| Henderson Molly | Officer | Executive Vice President & CFO | 8 | 2018–2020 | |
| Gitelman Igor | Officer | Chief Accounting Officer | 1 | 2021 | |
| Bisker-Leib Vered | Director | 2 | 2023 | ||
| GOLDBERG MURRAY A | Director | 2 | 2023 | ||
| Spiegel Robert J. | Director | 2 | 2023 | ||
| aMoon Growth Fund Limited Partnership | TenPercentOwner | 2 | 2023 | ||
| Schindel Yair Chaim | TenPercentOwner | 1 | 2023 | ||
| Israel Biotech Fund II, L.P. | Director,TenPercentOwner; TenPercentOwner | 6 | 2023–2024 | ||
| Israel Biotech Fund I, L.P. | Director,TenPercentOwner; TenPercentOwner | 8 | 2023–2024 | ||
| I.B.F. Management Ltd. | Director,TenPercentOwner; TenPercentOwner | 6 | 2023–2024 | ||
| Israel Biotech Fund GP Partners II, L.P. | Director,TenPercentOwner; TenPercentOwner | 5 | 2023–2024 | ||
| Israel Biotech Fund GP Partners, L.P. | Director,TenPercentOwner; TenPercentOwner | 6 | 2023–2024 | ||
| Golan Roy | Officer | Chief Financial Officer | 1 | 2023 | |
| Martell Bridget A | Director | 1 | 2023 | ||
| Orbach Pini | Director | 1 | 2023 | ||
| Cabilly Yuval | Director | 1 | 2023 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2023-11-02 | Ayala Pharmaceuticals, Inc. | Biotechnology | $433,825 | $433,825 | 3 | 1 |
| 2022-02-11 | Advaxis, Inc. | Biotechnology | $4,750,000 | $4,750,000 | 6 | 1 |
| 2021-04-28 | Advaxis, Inc. | Biotechnology | $11,093,521 | $11,093,521 | 2 | 1 |
| 2012-02-24 | Advaxis, Inc. | Biotechnology | Indefinite | $1,047,500 | 12 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.