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