q
|
Rule
13d-1(b)
|
x
|
Rule
13d-1(c)
|
q
|
Rule
13d-1(d)
|
*
|
The
remainder of this cover page shall be filled out for a reporting person’s
initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover
page.
|
|
The
information required in the remainder of this cover page shall not be
deemed to be “filed” for purpose of Section 18 of the Securities Exchange
Act of 1934 (“Act”) or otherwise subject to the liabilities of that
section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
|
1.
|
NAME
OF REPORTING PERSON
|
2.
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A
GROUP:
|
|
(a)
|
q
|
|
(b)
|
q
|
3.
|
SEC
USE ONLY
|
4.
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
|
5.
|
SOLE
VOTING POWER
|
6.
|
SHARED
VOTING POWER
|
|
0
|
7.
|
SOLE
DISPOSITIVE POWER
|
8.
|
SHARED
DISPOSITIVE POWER
|
9.
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
|
10.
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN
SHARES:
|
x
|
11.
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW
9:
|
|
9.99%
|
12.
|
TYPE
OF REPORTING PERSON
|
|
FI
|
1.
|
NAME
OF REPORTING PERSON
|
2.
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A
GROUP:
|
|
(a)
|
q
|
|
(b)
|
q
|
3.
|
SEC
USE ONLY
|
4.
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
|
5.
|
SOLE
VOTING POWER
|
6.
|
SHARED
VOTING POWER
|
|
0
|
7.
|
SOLE
DISPOSITIVE POWER
|
8.
|
SHARED
DISPOSITIVE POWER
|
9.
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
|
10.
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN
SHARES:
|
x
|
11.
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW
9:
|
|
9.99%
|
12.
|
TYPE
OF REPORTING PERSON
|
ITEM
1
|
(a)
|
Name
of Issuer:
|
|
Advaxis,
Inc.
|
|
(b)
|
Address
of Issuer’s Principal Business
Office:
|
ITEM
2
|
(a)
|
Name
of Person Filing:
|
|
(b)
|
Address
of Principal Business Office, or if None,
Residence:
|
|
(c)
|
Citizenship:
|
|
(d)
|
Title
of Class of Securities:
|
|
(e)
|
CUSIP
NUMBER:
|
ITEM
3:
|
If
this Statement if Filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c),
check whether the person filing is
a:
|
q
|
a.
|
Broker
or dealer registered under Section 15 of the Exchange
Act.
|
q
|
b.
|
Bank
as defined in Section 3(a)(6) of the Exchange
Act.
|
q
|
c.
|
Insurance
company as defined in Section 3(a)(19) of the Exchange
Act.
|
q
|
d.
|
Investment
company registered under Section 8 of the Investment Company
Act.
|
q
|
e.
|
An
investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E)
|
q
|
f.
|
An
employee benefit plan or endowment fund in accordance with Rule
13d-1(b)(1)(ii)(F)
|
x
|
g.
|
A
parent holding company or control person in accordance with Rule
13d-1(b)(1)(ii)(G)
|
q
|
h.
|
A
savings association as defined I Section 3(b) of the Federal Deposit
Insurance
Act
|
q
|
i.
|
A
church plan that is excluded from the definition of an investment
company
under Section 3(c)(14) of the Investment Company
Act
|
q
|
j.
|
Group,
in accordance with Rule
13d-1(b)(1)(ii)(J).
|
ITEM
4:
|
Ownership
|
ITEM
5:
|
Ownership
of Five Percent or Less of a Class.
|
ITEM
6:
|
Ownership
of more than Five Percent on Behalf of Another
Person.
|
ITEM
7:
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being
Reported on by the Parent Holding Company or Control
Person.
|
ITEM
8:
|
Identification
and Classification of Members of the
Group.
|
ITEM
9:
|
Notice
of Dissolution of Group.
|
ITEM
10:
|
Certifications.
|
Dated: January 6, 2010 | OPTIMUS CG II, LTD | ||
|
By:
|
/s/ Terry Peizer | |
Name: | Terry Peizer | ||
Its: | Managing Director | ||
Dated: January 6, 2010 | OPTIMUS CAPITAL PARTNERS, LLC | ||
|
By:
|
/s/ Terry Peizer | |
Name: | Terry Peizer | ||
Its: | Managing Director | ||