ADVAXIS, INC. (NASDAQ:ADXS) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07. Submission of Matters to a Vote of Security Holders.
On February 21, 2019, at the 2019 annual meeting of stockholders (the “Annual Meeting”) of Advaxis, Inc. (the “Company” or “Advaxis”), the following matters were voted on by the stockholders: (i) the election of directors, (ii) the approval of an amendment to the Company’s Amended and Restated Certificate of Incorporation to increase the Company’s authorized share capital by 75,000,000 shares of common stock, (iii) the approval of an amendment to the Company’s Amended and Restated Certificate of Incorporation to effect a reverse stock split within a specified range and at the discretion of the Board of Directors, (iv) the advisory approval of compensation of named executive officers, (v) the advisory approval of the frequency at which an advisory vote regarding the compensation of named executive officers should be included in the Company’s proxy statement for stockholder consideration, (vi) the ratification of the appointment of Marcum LLP as Advaxis’ independent registered public accounting firm for the fiscal year ending October 31, 2019 and (vii) the shareholder proposal regarding the institution of a majority vote standard for the election of directors. At the Annual Meeting, each of Dr. David Sidransky, Dr. James P. Patton, Roni A. Appel, Richard J. Berman, Dr. Samir N. Khleif, and Kenneth A. Berlin were re-elected to the Board.
Proposal 1
The vote with respect to each director nominee is set forth below:
| Nominee | Total Votes For | Total Votes Withheld | Broker Non-Votes |
| Dr. David Sidransky |
19,278,804 |
5,930,201 | 32,545,294 |
| Dr. James P. Patton |
21,042,896 |
4,166,109 | 32,545,294 |
| Roni A. Appel |
20,958,791 |
4,250,214 | 32,545,294 |
| Richard J. Berman |
21,106,194 |
4,102,811 | 32,545,294 |
| Dr. Samir Khleif |
19,850,241 |
5,358,764 | 32,545,294 |
| Kenneth A. Berlin |
21,667,347 |
3,541,658 | 32,545,294 |
Proposal 2
The vote with respect to the approval of an amendment to Advaxis’ Amended and Restated Certificate of Incorporation to increase authorized shares of common stock is set forth below:
| Total Votes For | Total Votes Against | Abstentions | Broker Non-Votes |
| 35,184,236 | 21,737,385 | 832,678 |
Proposal 3
The vote with respect to the approval of an amendment to Advaxis’ Amended and Restated Certificate of Incorporation to effect a reverse stock split is set forth below:
| Total Votes For | Total Votes Against | Abstentions | Broker Non-Votes |
| 37,972,052 | 17,317,036 | 2,465,211 |
Proposal 4
The vote with respect to non-binding advisory vote on executive compensation is set forth below:
| Total Votes For | Total Votes Against | Abstentions | Broker Non-Votes |
| 12,355,587 | 10,698,852 | 2,154,566 | 32,545,294 |
Proposal 5
The vote with respect to the non-binding advisory vote on frequency at which the Company should include an advisory vote regarding the compensation of named executive officers is set forth below:
| 1 Year | 2 Years | 3 Years | Abstentions |
| 12,031,067 | 506,511 | 11,599,947 | 1,071,480 |
Proposal 6
The vote with respect to the ratification of the appointment of Marcum LLP as Advaxis’ independent registered public accounting firm for the fiscal year ending October 31, 2019, is set forth below:
| Total Votes For | Total Votes Against | Abstentions | Broker Non-Votes |
| 49,565,691 | 6,366,877 | 1,821,731 |
Proposal 7
The vote with respect to the shareholder proposal with regards to the election of the Board of Directors by a majority vote standard is set forth below:
| Total Votes For | Total Votes Against | Abstentions | Broker Non-Votes |
| 21,413,335 | 1,561,085 | 1,824,361 | 32,545,294 |
About ADVAXIS, INC. (NASDAQ:ADXS)
Advaxis, Inc. is a clinical-stage biotechnology company. The Company’s immunotherapies are based on a platform technology that utilizes live attenuated Listeria monocytogenes (Lm or Listeria) bioengineered to secrete antigen/adjuvant fusion proteins. It is focused on the discovery, development and commercialization of Lm-LLO cancer immunotherapies. The Company’s immunotherapy candidates include Axalimogene filolisbac, ADXS-PSA and ADXS-HER2. Axalimogene filolisbac (ADXS-HPV) is a lead Lm-LLO immunotherapy product candidate for the treatment of human papilloma virus (HPV) associated cancers. ADXS-PSA is an Lm-LLO immunotherapy product candidate designed to target the Prostate Specific Antigen (PSA) associated with prostate cancer. ADXS-HER2 is an Lm-LLO immunotherapy product candidate designed for the treatment of Human Epidermal Growth Factor Receptor 2 (HER2) expressing cancers, including human and canine osteosarcoma, breast, gastric and other cancers.
