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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM 8-K

 

CURRENT REPORT

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

 

Date of Report (Date of earliest event reported): September 28, 2022

 

ANIXA BIOSCIENCES, INC.

(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

  95118
(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 7.01. Regulation FD Disclosure.

 

On September 28, 2022, Dr. Jose Conejo-Garcia, Senior Member of the Immunology Department at Moffitt Cancer Center and the inventor of Anixa Biosciences, Inc.’s (“we,” “us,” “our,” or the “Company”) chimeric endocrine receptor T-cell technology—a new kind of chimeric antigen receptor T-cell technology (CAR-T)—made a virtual presentation at the Rivkin Center and American Association for Cancer Research (AACR) 14th Biennial Ovarian Cancer Research Symposium. During Dr. Conejo-Garcia’s presentation, he discussed the science behind our CAR-T technology and the design of our ongoing clinical trial. We have attached as an exhibit to this Current Report applicable slides from Dr. Conejo-Garcia’s presentation. In addition to his slide presentation, Dr. Conejo-Garcia stated the latest results of the trial for which enrollment continues. At the current time, one patient has been treated in the trial and safety signals look favorable, and imaging at one month post-treatment, indicate that the patient’s tumor lesions are stable and not growing. The patient appears to be doing fine and will continue to be monitored. While these results are very promising, it is important to note that they are from a single patient at this time. Please see our risk factors included in our Annual Report on Form 10-K as well as our other reports filed with the Securities and Exchange Commission for a discussion of the risks associated with our clinical trial.

 

Statements that are not historical fact may be considered forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Forward-looking statements are not statements of historical facts, but rather reflect our current expectations concerning future events and results. We generally use the words “believes,” “expects,” “intends,” “plans,” “anticipates,” “likely,” “will” and similar expressions to identify forward-looking statements. Such forward-looking statements, including those concerning our clinical trials, involve risks, uncertainties and other factors, some of which are beyond our control, which may cause our actual results, performance or achievements, or industry results, to be materially different from any future results, performance, or achievements expressed or implied by such forward-looking statements. These risks, uncertainties and factors include, but are not limited to, those factors set forth in “Item 1A - Risk Factors” and other sections of our most recent Annual Report on Form 10-K as well as in our Quarterly Reports on Form 10-Q and Current Reports on Form 8-K. We undertake no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise, except as required by law. You are cautioned not to unduly rely on such forward-looking statements when evaluating the information presented in this Current Report.

 

Item 9.01Financial Statements and Exhibits

 

(d) Exhibits

 

The following exhibits are filed with this Current Report on Form 8-K:

 

Exhibit No.   Description
     
99.1   Presentation
     
104    Cover Page Interactive Data File (embedded within the Inline XBRL document)

 

 

 

 

SIGNATURES

 

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: September 29, 2022  
   
  ANIXA BIOSCIENCES, INC.
   
  By: /s/ Amit Kumar
  Name: Dr. Amit Kumar
  Title: Chief Executive Officer