Lewis H. Titterton Jr. - 27 Jul 2023 Form 4 Insider Report for Anixa Biosciences Inc (ANIX)

Role
Director
Signature
/s/ Lewis H. Titterton, Jr.
Issuer symbol
ANIX
Transactions as of
27 Jul 2023
Net transactions value
+$0.9
Form type
4
Filing time
31 Jul 2023, 18:36:13 UTC
Previous filing
26 Jun 2023
Next filing
11 Oct 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ANIX Common Stock Options Exercise $309,000 +120,000 +16% $2.58 894,070 27 Jul 2023 Direct
transaction ANIX Common Stock Tax liability $308,999 -87,042 -9.7% $3.55 807,028 27 Jul 2023 Direct F1

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 -120,000 -100% $0.000000* 0 27 Jul 2023 Common Stock 120,000 $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.