0001513162-19-000210.txt : 20190920 0001513162-19-000210.hdr.sgml : 20190920 20190920163505 ACCESSION NUMBER: 0001513162-19-000210 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190920 FILED AS OF DATE: 20190920 DATE AS OF CHANGE: 20190920 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Catelani Michael CENTRAL INDEX KEY: 0001689394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37492 FILM NUMBER: 191105107 MAIL ADDRESS: STREET 1: 12100 WILSHIRE BOULEVARD STREET 2: SUITE 1275 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER NAME: FORMER CONFORMED NAME: Catelini Michael DATE OF NAME CHANGE: 20161104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Anixa Biosciences Inc CENTRAL INDEX KEY: 0000715446 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 112622630 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 3150 ALMADEN EXPRESSWAY, SUITE 250 CITY: SAN JOSE STATE: CA ZIP: 95118 BUSINESS PHONE: 408-708-9808 MAIL ADDRESS: STREET 1: 3150 ALMADEN EXPRESSWAY, SUITE 250 CITY: SAN JOSE STATE: CA ZIP: 95118 FORMER COMPANY: FORMER CONFORMED NAME: ITUS Corp DATE OF NAME CHANGE: 20140902 FORMER COMPANY: FORMER CONFORMED NAME: COPYTELE INC DATE OF NAME CHANGE: 19920703 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-09-20 0 0000715446 Anixa Biosciences Inc ANIX 0001689394 Catelani Michael C/O ANIXA BIOSCIENCES, INC. 3150 ALMADEN EXPRESSWAY, SUITE 250 SAN JOSE CA 95118 1 1 0 0 COO & CFO Employee Stock Option 0.67 2019-09-20 4 D 0 50000 D 2026-11-15 Common Stock 50000 0 D Employee Stock Option 4.85 2019-09-20 4 A 0 50000 A 2026-11-15 Common Stock 50000 50000 D Employee Stock Option 0.67 2019-09-20 4 D 0 200000 D 2027-07-06 Common Stock 200000 0 D Employee Stock Option 0.96 2019-09-20 4 A 0 200000 A 2027-07-06 Common Stock 200000 200000 D These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, 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. The option was originally granted on November 15, 2016 and vests one third on November 15, 2017 and two thirds vest quarterly over two years commencing January 31, 2018. The option was originally granted on July 6, 2017 and vests and become exercisable as follows: 25% on July 6, 2018 and the remainder over twelve (12) equal quarterly installments beginning October 31, 2018. /s/ Michael J. Catelani 2019-09-20