SEC Form 4 · accession 0001513162-16-000881
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry P Herms
Officer — V.P., Finance & CFO
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 11:21 am 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 | Jun 1, 2016 | M | 2,000 | $2.58 | A | 24,125 | D | |
| Common Stock | Jun 1, 2016 | S | 1,000 | $3.27 | D | 23,125 | D | |
| Common Stock | Jun 1, 2016 | S | 500 | $3.28 | D | 22,625 | D | |
| Common Stock | Jun 2, 2016 | S | 500 | $3.23 | D | 22,125 | 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 OptionF1 | $2.58 | Jun 1, 2016 | M | 2,000 | D | Jun 1, 2006 | Jun 1, 2016 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Right-To-Buy, pursuant to the ITUS Corporation 2003 Share Incentive Plan.