SEC Form 4 · accession 0001513162-17-000255
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dale Fox
Director
Period of report
Sep 6, 2017
Accepted (ET)
Sep 8, 2017 · 6:28 pm EDT
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,F2 | $2.575 | Sep 6, 2017 | D | 6,000 | D | — | Aug 8, 2024 | Common Stock | 6,000 | 0 | D |
| Employee Stock OptionF1,F2 | $0.67 | Sep 6, 2017 | A | 6,000 | A | — | Aug 8, 2024 | Common Stock | 6,000 | 6,000 | D |
| Employee Stock OptionF1,F3 | $2.575 | Sep 6, 2017 | D | 12,000 | D | — | Jan 2, 2025 | Common Stock | 12,000 | 0 | D |
| Employee Stock OptionF1,F3 | $0.67 | Sep 6, 2017 | A | 12,000 | A | — | Jan 2, 2025 | Common Stock | 12,000 | 12,000 | D |
| Employee Stock OptionF1,F4 | $2.92 | Sep 6, 2017 | D | 12,000 | D | — | Jan 14, 2026 | Common Stock | 12,000 | 0 | D |
| Employee Stock OptionF1,F4 | $0.67 | Sep 6, 2017 | A | 12,000 | A | — | Jan 14, 2026 | Common Stock | 12,000 | 12,000 | D |
| Employee Stock OptionF1,F5 | $5.30 | Sep 6, 2017 | D | 12,000 | D | — | Jan 3, 2027 | Common Stock | 12,000 | 0 | D |
| Employee Stock OptionF1,F5 | $0.67 | Sep 6, 2017 | A | 12,000 | A | — | Jan 3, 2027 | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1These transactions 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.
- F2The option was originally granted on August 8, 2014 and vested 50% on September 30, 2016 and 50% on December 31, 2016.
- F3The option was originally granted on January 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015.
- F4The option was originally granted on February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016.
- F5The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.