Amit Kumar - Jul 28, 2023 Form 4 Insider Report for Anixa Biosciences Inc (ANIX)

Role
Chief Executive Officer, Director
Signature
/s/ Amit Kumar
Stock symbol
ANIX
Transactions as of
Jul 28, 2023
Transactions value $
-$42,127
Form type
4
Date filed
7/31/2023, 06:34 PM
Previous filing
Jan 4, 2023
Next filing
Jan 16, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ANIX Common Stock Options Exercise $103K +40K +8.66% $2.58 502K Jul 28, 2023 Direct
transaction ANIX Common Stock Tax liability -$103K -28.4K -5.65% $3.63 474K Jul 28, 2023 Direct F1
transaction ANIX Common Stock Sale -$42.1K -11.8K -2.49% $3.57 462K Jul 31, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ANIX Employee Stock Option (Right to Buy) Options Exercise $0 -40K -100% $0.00* 0 Jul 28, 2023 Common Stock 40K $2.58 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting persons exercised the stock options at this time due to their expiration on November 8, 2023. The disposal of shares reported herein represents shares withheld by Anixa Biosciences, Inc. (the "registrant") to cover the exercise price of the stock options.
F2 Right-To-Buy, pursuant to a stock option grant dated November 8, 2013.