SEC Form 4 · accession 0001513162-15-000052
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry P Herms
Officer — VP-Finance & CFO
Period of report
Feb 5, 2015
Accepted (ET)
Feb 5, 2015 · 8:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000715446
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1 | $0.65 | Feb 5, 2015 | D | 100,000 | D | — | Feb 18, 2015 | Common Stock | 100,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 100,000 | A | — | Feb 18, 2015 | Common Stock | 100,000 | 100,000 | D |
| Employee Stock OptionF1 | $0.52 | Feb 5, 2015 | D | 100,000 | D | — | Oct 31, 2015 | Common Stock | 100,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 100,000 | A | — | Oct 31, 2015 | Common Stock | 100,000 | 100,000 | D |
| Employee Stock OptionF1 | $0.145 | Feb 5, 2015 | D | 50,000 | D | — | Jun 1, 2016 | Common Stock | 50,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 50,000 | A | — | Jun 1, 2016 | Common Stock | 50,000 | 50,000 | D |
| Employee Stock OptionF1 | $0.70 | Feb 5, 2015 | D | 50,000 | D | — | Nov 21, 2016 | Common Stock | 50,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 50,000 | A | — | Nov 21, 2016 | Common Stock | 50,000 | 50,000 | D |
| Employee Stock OptionF1 | $0.145 | Feb 5, 2015 | D | 75,000 | D | — | Nov 12, 2017 | Common Stock | 75,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 75,000 | A | — | Nov 12, 2017 | Common Stock | 75,000 | 75,000 | D |
| Employee Stock OptionF1 | $0.145 | Feb 5, 2015 | D | 100,000 | D | — | Oct 8, 2019 | Common Stock | 100,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 100,000 | A | — | Oct 8, 2019 | Common Stock | 100,000 | 100,000 | D |
| Employee Stock OptionF1 | $0.37 | Feb 5, 2015 | D | 100,000 | D | — | Jun 2, 2021 | Common Stock | 100,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 100,000 | A | — | Jun 2, 2021 | Common Stock | 100,000 | 100,000 | D |
| Employee Stock OptionF1 | $0.235 | Feb 5, 2015 | D | 300,000 | D | — | Sep 21, 2022 | Common Stock | 300,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 300,000 | A | — | Sep 21, 2022 | Common Stock | 300,000 | 300,000 | D |
| Employee Stock OptionF1 | $0.20 | Feb 5, 2015 | D | 550,000 | D | — | Nov 8, 2023 | Common Stock | 550,000 | 0 | D |
| Employee Stock OptionF1 | $0.103 | Feb 5, 2015 | A | 550,000 | A | — | Nov 8, 2023 | Common Stock | 550,000 | 550,000 | D |
Explanation of responses
- F1Each of the transactions reported in this Form 4 involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.