SEC Form 4 · accession 0001513162-17-000104
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Andrew Berman
Officer — President and CEO
Period of report
Apr 3, 2017
Accepted (ET)
Apr 4, 2017 · 7:56 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 | Apr 3, 2017 | X | 5,995 | $2.38 | A | 51,553 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription RightF1 | $2.38 | Apr 3, 2017 | X | 5,995 | D | Mar 3, 2017 | — | Common Stock | 5,995 | 0 | D |
Explanation of responses
- F1ITUS Corporation distributed to holders of its common stock and certain warrants, non-transferrable subscription rights to purchase one share of common stock for each share of common stock held on March 1, 2017. The rights offering expired on March 24, 2017, but the company did not close the rights offering until April 3, 2017.