13G Filing: Adage Capital Management and Advaxis Inc. (ADXS)

(a)

¨

Broker or dealer registered under Section 15 of the Act;

(b)

¨

Bank as defined in Section 3(a)(6) of the Act;

(c)

¨

Insurance company as defined in Section 3(a)(19) of the Act;

(d)

¨

Investment company registered under Section 8 of the Investment Company Act of 1940;

(e)

¨

An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

(f)

¨

An employee benefit plan or endowment fund in
accordance with Rule 13d-1(b)(1)(ii)(F);

(g)

¨

A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

(h)

¨

A savings association as defined in Section 3(b)
of the Federal Deposit Insurance Act;

(i)

¨

A church plan that is excluded from the definition
of an investment company under Section 3(c)(14) of the Investment Company Act;

(j)

¨

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);

(k)

¨

Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

Item 4.		OWNERSHIP

	A.	Adage Capital Partners, L.P., Adage Capital Partners GP, L.L.C. and Adage Capital Advisors, L.L.C.
			(a)	Amount beneficially owned: 4,700,043
			(b)	Percent of class: 11.45%. The percentages used herein and in the rest of this Schedule 13G/A are calculated based upon 41,065,835 shares of Common Stock issued and outstanding as of August 31, 2017, as reported in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended July 31, 2017 filed with the Securities and Exchange Commission on September 11, 2017.
			(c)	(i) Sole power to vote or direct the vote: 0
				(ii) Shared power to vote or direct the vote: 4,700,043
				(iii) Sole power to dispose or direct the disposition: 0
				(iv) Shared power to dispose or direct the disposition of: 4,700,043

Page 8 of 10 – SEC Filing