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DewDiligence

08/12/15 3:42 PM

#194289 RE: DewDiligence #187652

Broadfin Capital owned 5.3% of ADXS as of 8/6/15, according to a 13G filing today:

http://www.sec.gov/Archives/edgar/data/1100397/000091957415005828/d6762809_13-g.htm

This is Broadfin’s first 13G filing for ADXS, although they did participate in the Feb 2015 registered direct offering (#msg-110967234).