SEC Form 4 · accession 0001513162-16-001040
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
Oct 20, 2016
Accepted (ET)
Oct 24, 2016 · 4:36 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 StockF1 | Oct 20, 2016 | M | 2,000 | $2.575 | A | 24,125 | D | |
| Common StockF1 | Oct 20, 2016 | D | 804 | $6.40 | D | 23,321 | 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 OptionF2 | $2.575 | Oct 20, 2016 | M | 2,000 | D | Nov 21, 2006 | Nov 21, 2016 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1The exercise of the option was net settled with the Company and 804 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934, as amended.
- F2Right-To-Buy, pursuant to the ITUS Corporation 2003 Share Incentive Plan.