SEC Form 4 · accession 0001513162-15-000596
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry P Herms
Officer — Vice President-Finance & CFO
Period of report
Oct 27, 2015
Accepted (ET)
Oct 29, 2015 · 5:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000715446
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 27, 2015 | M | 4,000 | $2.58 | A | 26,125 | D | |
| Common StockF1 | Oct 27, 2015 | S | 1,000 | $3.79 | D | 25,125 | D | |
| Common StockF2 | Oct 28, 2015 | S | 1,700 | $3.80 | D | 23,425 | D | |
| Common StockF3 | Oct 29, 2015 | S | 800 | $3.73 | D | 22,625 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF4 | $2.58 | Oct 27, 2015 | M | 4,000 | D | Oct 31, 2005 | Oct 31, 2015 | Common Stock | 4,000 | 0 | D |
Explanation of responses
- F1The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.76 to $3.88, inclusive. The reporting person undertakes to provide to ITUS Corporation, any security holder of ITUS Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth.
- F2The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.80 to $3.84, inclusive. The reporting person undertakes to provide to ITUS Corporation, any security holder of ITUS Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth.
- F3The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.74 to $3.76, inclusive. The reporting person undertakes to provide to ITUS Corporation, any security holder of ITUS Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth.
- F4Right-To-Buy, pursuant to the ITUS Corporation 2003 Share Incentive Plan.