Michael Catelani - 31 Oct 2023 Form 4 Insider Report for Anixa Biosciences Inc (ANIX)

Role: President, COO & CFO
Signature: /s/ Michael J. Catelani
Issuer symbol: ANIX
Transactions as of: 31 Oct 2023
Transactions value $: $3,005
Form type: 4
Filing time: 02 Nov 2023, 10:58:20 UTC
Previous filing: 21 Jul 2023
Next filing: 16 Jan 2024
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	ANIX	Common Stock	Award	$3,004	+1,117	+4.19%	$2.69	27,772	31 Oct 2023	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The reporting person purchased the shares of common stock reported hereunder pursuant to the Anixa Biosciences, Inc. Employee Stock Purchase Plan (the "Plan") which satisfies the requirements of Section 423 of the Internal Revenue Code. The reporting person's purchase of the shares of common stock is exempt from Section 16(b) under Rule 16b-3(c) and is exempt from the reporting requirements of Section 16 by virtue of Rule 16a-3(f)(1)(i)(B), however the reporting person has elected to voluntarily report the acquisition of the shares.
F2	In accordance with the Plan, the shares were purchased based on 85% of the closing price of Anixa Biosciences, Inc. common stock on October 31, 2023.

Content

The reporting person purchased the shares of common stock reported hereunder pursuant to the Anixa Biosciences, Inc. Employee Stock Purchase Plan (the "Plan") which satisfies the requirements of Section 423 of the Internal Revenue Code. The reporting person's purchase of the shares of common stock is exempt from Section 16(b) under Rule 16b-3(c) and is exempt from the reporting requirements of Section 16 by virtue of Rule 16a-3(f)(1)(i)(B), however the reporting person has elected to voluntarily report the acquisition of the shares.

In accordance with the Plan, the shares were purchased based on 85% of the closing price of Anixa Biosciences, Inc. common stock on October 31, 2023.