0001513162-19-000213.txt : 20190920
0001513162-19-000213.hdr.sgml : 20190920
20190920175817
ACCESSION NUMBER: 0001513162-19-000213
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: MONAHAN JOHN J
CENTRAL INDEX KEY: 0001257825
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37492
FILM NUMBER: 191105613
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
0001257825
MONAHAN JOHN J
C/O ANIXA BIOSCIENCES, INC.
3150 ALMADEN EXPRESSWAY, SUITE 250
SAN JOSE
CA
95118
1
0
0
0
Employee Stock Option
0.67
2019-09-20
4
D
0
6000
D
2026-08-23
Common Stock
6000
0
D
Employee Stock Option
3.13
2019-09-20
4
A
0
6000
A
2026-08-23
Common Stock
6000
6000
D
Employee Stock Option
0.67
2019-09-20
4
D
0
12000
D
2027-01-03
Common Stock
12000
0
D
Employee Stock Option
5.3
2019-09-20
4
A
0
12000
A
2027-01-03
Common Stock
12000
12000
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 August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.
The 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.
/s/ John J. Monahan
2019-09-20