SEC Form 4 · accession 0001513162-17-000276
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Richard H Williams
Director
Period of report
Sep 22, 2017
Accepted (ET)
Oct 2, 2017 · 5:35 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 | Sep 22, 2017 | A | 50,000 | — | A | 100,000 | I | Williams Resource Group, Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to Buy)F2,F3 | $2.27 | Sep 22, 2017 | A | 50,000 | A | — | Sep 22, 2027 | Common Stock | 50,000 | 50,000 | D |
| Employee Stock Options (right to Buy)F2,F3 | $2.27 | Sep 22, 2017 | A | 50,000 | A | — | Sep 22, 2027 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").
- F2Right-To-Buy, pursuant to the Plan.
- F3The options vest and become exercisable in four (4) equal installments on each of December 31, 2017, March 31, 2018, June 30, 2018 and September 30, 2018.