Filing Details
- Accession Number:
- 0001493152-23-026125
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-07-31 18:34:37
- Reporting Period:
- 2023-07-28
- Accepted Time:
- 2023-07-31 18:34:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 715446 | Anixa Biosciences Inc | ANIX | Pharmaceutical Preparations (2834) | 112622630 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1191905 | Amit Kumar | C/O Anixa Biosciences, Inc. 3150 Almaden Expressway, Suite 250 San Jose, CA 95118 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-07-28 | 40,000 | $2.58 | 502,100 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-07-28 | 28,375 | $3.63 | 473,725 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-07-31 | 11,800 | $3.57 | 461,925 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2023-07-28 | 40,000 | $0.00 | 40,000 | $2.58 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-11-08 | 2023-11-08 | No | 4 | M | Direct |
Footnotes
- The reporting persons exercised the stock options at this time due to their expiration on November 8, 2023. The disposal of shares reported herein represents shares withheld by Anixa Biosciences, Inc. (the "registrant") to cover the exercise price of the stock options.
- Right-To-Buy, pursuant to a stock option grant dated November 8, 2013.
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