UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) (1) | 12/31/2016 | 09/22/2022 | Common Stock | 6,000 | $ 0.67 | D | |
Employee Stock Option (Right to Buy) (1) | 09/22/2017 | 09/22/2022 | Common Stock | 12,000 | $ 0.67 | D | |
Employee Stock Option (Right to Buy) (1) | (2) | 09/06/2027 | Common Stock | 20,000 | $ 0.67 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Baskies Arnold M 3150 ALMADEN EXPRESSWAY SUITE 250 SAN JOSE, CA 95118 |
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/s/ Arnold M. Baskies | 10/01/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Right to Buy pursuant to the Anixa Biosciences 2010 Share Incentive Plan. |
(2) | The options vest and become exercisable as follows: a) 10,000 shares shall be vested and exercisable upon grant; b) 8,888 shares shall vest and become exercisable in eight (8) consecutive quarterly installments of 1,111 shares each on the last day of each fiscal quarter, beginning November 30, 2018 and continuing through August 31, 2019; and c) the remaining 1,112 shares shall vest and become exercisable on November 30, 2019. |