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Washington, D.C. 20549







Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): October 1, 2021



(Exact name of registrant as specified in its charter)


Delaware   001-37492   11-2622630
(State or other jurisdiction of incorporation)   (Commission
File Number)

(IRS Employer

Identification No.)


3150 Almaden Expressway, Suite 250

San Jose, CA

(Address of principal executive offices)   (Zip Code)


Registrant’s telephone number, including area code: (408) 708-9808


(Former name or former address, if changed since last report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation to the registrant under any of the following provisions:


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each class   Trading Symbol(s)   Name of each exchange on which registered
Common Stock, par value $0.01 per share   ANIX   The NASDAQ Stock Market LLC


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐






Item 8.01 Other Events


On October 1, 2021, patient recruitment commenced for the initial clinical trial of the preventative breast cancer vaccine being developed by Cleveland Clinic, the U.S. Department of Defense and Anixa Biosciences, Inc. The study titled, “Phase I Trial of Adjuvant Therapy With an Alpha-lactalbumin Vaccine in Patients With Non-Metastatic Triple-Negative Breast Cancer at High Risk of Recurrence” is being performed at Cleveland Clinic and is an open-label, dose-escalation trial in which participants will be treated with successively higher doses of the vaccine. It is estimated that 18-24 participants will be treated in this trial and the trial is estimated to take approximately one year to complete. More details regarding the trial can be found at https://www.clinicaltrials.gov/ct2/show/NCT04674306?recrs=b&cond=Breast+Cancer&cntry=US&state=US%3AOH&draw=2.






Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Dated: October 4, 2021

  By: /s/ Amit Kumar
  Name: Dr. Amit Kumar
  Title: President and Chief Executive Officer