SEC Form 4 · accession 0001513162-17-000257
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lewis H Titterton Jr.
Director
Period of report
Sep 6, 2017
Accepted (ET)
Sep 8, 2017 · 7:17 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 | 30,000 | D | — | Sep 19, 2022 | Common Stock | 30,000 | 0 | D |
| Employee Stock OptionF1,F2 | $0.67 | Sep 6, 2017 | A | 30,000 | A | — | Sep 19, 2022 | Common Stock | 30,000 | 30,000 | D |
| Employee Stock OptionF1,F3 | $2.575 | Sep 6, 2017 | D | 40,000 | D | — | Feb 15, 2023 | Common Stock | 40,000 | 0 | D |
| Employee Stock OptionF1,F3 | $0.67 | Sep 6, 2017 | A | 40,000 | A | — | Feb 15, 2023 | Common Stock | 40,000 | 40,000 | D |
| Employee Stock OptionF1,F4 | $2.575 | Sep 6, 2017 | D | 16,000 | D | — | Dec 31, 2022 | Common Stock | 16,000 | 0 | D |
| Employee Stock OptionF1,F4 | $0.67 | Sep 6, 2017 | A | 16,000 | A | — | Dec 31, 2022 | Common Stock | 16,000 | 16,000 | D |
| Employee Stock OptionF1,F5 | $0.82 | Sep 6, 2017 | D | 6,000 | D | — | Jul 17, 2027 | Common Stock | 6,000 | 0 | D |
| Employee Stock OptionF1,F5 | $0.67 | Sep 6, 2017 | A | 6,000 | A | — | Jul 17, 2027 | Common Stock | 6,000 | 6,000 | D |
| Employee Stock OptionF1,F6 | $2.575 | Sep 6, 2017 | D | 2,400 | D | — | Nov 30, 2017 | Common Stock | 2,400 | 0 | D |
| Employee Stock OptionF1,F6 | $0.67 | Sep 6, 2017 | A | 2,400 | A | — | Nov 30, 2017 | Common Stock | 2,400 | 2,400 | D |
| Employee Stock OptionF1,F7 | $2.575 | Sep 6, 2017 | D | 120,000 | D | — | Nov 8, 2023 | Common Stock | 120,000 | 0 | D |
| Employee Stock OptionF1,F7 | $0.67 | Sep 6, 2017 | A | 120,000 | A | — | Nov 8, 2023 | Common Stock | 120,000 | 120,000 | D |
| Employee Stock OptionF1,F8 | $2.575 | Sep 6, 2017 | D | 16,000 | D | — | Dec 31, 2023 | Common Stock | 16,000 | 0 | D |
| Employee Stock OptionF1,F8 | $0.67 | Sep 6, 2017 | A | 16,000 | A | — | Dec 31, 2023 | Common Stock | 16,000 | 16,000 | D |
| Employee Stock OptionF1,F9 | $2.575 | Sep 6, 2017 | D | 16,000 | D | — | Jan 2, 2025 | Common Stock | 16,000 | 0 | D |
| Employee Stock OptionF1,F9 | $0.67 | Sep 6, 2017 | A | 16,000 | A | — | Jan 2, 2025 | Common Stock | 16,000 | 16,000 | D |
| Employee Stock OptionF1,F10 | $2.92 | Sep 6, 2017 | D | 16,000 | D | — | Jan 14, 2026 | Common Stock | 16,000 | 0 | D |
| Employee Stock OptionF1,F10 | $0.67 | Sep 6, 2017 | A | 16,000 | A | — | Jan 14, 2026 | Common Stock | 16,000 | 16,000 | 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.
- F10The 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.
- F2The option was originally granted on September 19, 2012 and vested as follows: one third immediately and two thirds annually beginning on September 19, 2013.
- F3The option was originally granted on February 15, 2013 and vested as follows: one third immediately and two thirds annually beginning on February 15, 2014.
- F4The option was originally granted on March 28 2013 and vested in in four (4) equal installments on each March 31, 2013, June 30, 2013, September 30, 2013 and December 31, 2013.
- F5The option was originally granted on July 17, 2017 and vests and become exercisable in two equal installments on each September 30, 2017 and December 31, 2017.
- F6The option was originally granted on November 30, 2012 and vested immediately.
- F7The option was originally granted on November 8, 2013 and vested in 36 consecutive monthly installments beginning on December 31, 2013.
- F8The option was originally granted on January 2, 2014 and vested in four (4) equal installments on each of March 31, 2014, June 30, 2014, September 30, 2014 and December 31, 2014.
- F9The 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.