Item 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics.
Item 5.07 Submission of Matters to a Vote of Security Holders.
At the Annual Meeting of Stockholders of the Company held on
1. The six nominees listed below were elected and qualified to serve on the Board
of Directors of the Company until the next annual meeting of stockholders or until their respective successors: Nominee For Withhold Authority Broker Non-Votes Dr. James P. Patton 7,274,466 1,230,489 6,261,461 Daniel J. O'Connor 7,218,165 1,286,790 6,261,461 Roni A. Appel 7,219,373 1,285,582 6,261,461 Richard J. Berman 7,242,778 1,262,177 6,261,461 Dr. Thomas McKearn 7,309,164 1,195,791 6,261,461 Dr. David Sidransky 7,245,973 1,258,982 6,261,461
2. The stockholders approved an amendment to the Company's Certificate of
Incorporation to increase the total number of authorized shares of capital
stock from 30,000,000 consisting of 25,000,000 shares of common stock and
5,000,000 shares of "blank check" preferred stock to 50,000,000 consisting of
45,000,000 shares of common stock and 5,000,000 shares of "blank check"
preferred stock. For Against Abstain 10,522,063 4,120,559 123,794
A copy of the Certificate of Amendment to the Company's Certificate of Incorporation that reflects the foregoing proposal is attached hereto as Exhibit 3.1.
3. The stockholders ratified and approved an amendment to the Company's 2011
Omnibus Incentive Plan to increase the aggregate number of shares of common stock authorized for issuance under such plan by 1,600,000 shares. For Against Abstain Broker Non-Votes 6,021,913 2,301,236 181,806 6,261,461
4. The stockholders ratified the selection of
independent registered public accountants for the fiscal year ending
October 31, 2014. For Against Abstain 12,872,205 1,542,041 352,170
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits. Exhibit No. Description 3.1 Certificate of Amendment of the Amended and Restated Certificate of Incorporation of
Advaxis, Inc.(filed July 9, 2014) 14.1 Advaxis, Inc.Code of Business Conduct and Ethics (revised as of July 9, 2014)