SEC Form 4/A · accession 0001513162-18-000095
Anixa Biosciences Inc · ANIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Richard H Williams
Director
Period of report
Sep 22, 2017
Accepted (ET)
Apr 11, 2018 · 5:31 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 | 50,000 | 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, 2017 | 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, 2017 | 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.
Remarks
The reporting person has filed this Form 4/A to correct an error on Column 5 of Table 1 ("Amount of Securities Beneficially Owned Following Reported Transactions(s)"). The reporting person incorrectly included an extra 50,000 shares of common stock in Column 5 of the original filing, but the extra 50,000 shares were held directly by the reporting person and not indirectly by Williams Resource Group, Inc.