ANIX

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 7

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2023-11-08

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F4 · derivative.exercise_date: The option was originally granted on November 8, 2013 and vested in 36 consecutive monthly installments beginning on December 31, 2013.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 6

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,333

Underlying: Common Stock · 213,333 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted September 19, 2012 and vested as follows: (i) 106,667 shares upon the achievement of certain performance criteria; and (ii) 213,333 shares in two equal installments if the average closing price of the Company's common stock exceeds certain specified levels.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 5

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 213,333 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted September 19, 2012 and vested as follows: (i) 106,667 shares upon the achievement of certain performance criteria; and (ii) 213,333 shares in two equal installments if the average closing price of the Company's common stock exceeds certain specified levels.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 4

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,667

Underlying: Common Stock · 106,667 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted September 19, 2012 and vested as follows: (i) 106,667 shares upon the achievement of certain performance criteria; and (ii) 213,333 shares in two equal installments if the average closing price of the Company's common stock exceeds certain specified levels.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 3

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 106,667 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted September 19, 2012 and vested as follows: (i) 106,667 shares upon the achievement of certain performance criteria; and (ii) 213,333 shares in two equal installments if the average closing price of the Company's common stock exceeds certain specified levels.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 2

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,000

Underlying: Common Stock · 320,000 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on September 19, 2012 and vested in 36 equal monthly installments beginning on October 31, 2012.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 320,000 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on September 19, 2012 and vested in 36 equal monthly installments beginning on October 31, 2012.

SEC source: 0001513162-19-000210 · primary_doc.xml · derivative · entry 4

Catelani Michael · CIK 0001689394 · Director · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-07-06

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on July 6, 2017 and vests and become exercisable as follows: 25% on July 6, 2018 and the remainder over twelve (12) equal quarterly installments beginning October 31, 2018.

SEC source: 0001513162-19-000210 · primary_doc.xml · derivative · entry 3

Catelani Michael · CIK 0001689394 · Director · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2027-07-06

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on July 6, 2017 and vests and become exercisable as follows: 25% on July 6, 2018 and the remainder over twelve (12) equal quarterly installments beginning October 31, 2018.

SEC source: 0001513162-19-000210 · primary_doc.xml · derivative · entry 2

Catelani Michael · CIK 0001689394 · Director · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-11-15

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on November 15, 2016 and vests one third on November 15, 2017 and two thirds vest quarterly over two years commencing January 31, 2018.

SEC source: 0001513162-19-000210 · primary_doc.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · Director · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2026-11-15

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on November 15, 2016 and vests one third on November 15, 2017 and two thirds vest quarterly over two years commencing January 31, 2018.

SEC source: 0001513162-19-000209 · primary_doc.xml · derivative · entry 4

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2022-09-22

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000209 · primary_doc.xml · derivative · entry 3

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2022-09-22

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000209 · primary_doc.xml · derivative · entry 2

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2022-09-22

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-19-000209 · primary_doc.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2022-09-22

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-19-000207 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 906,544

SEC source: 0001513162-19-000206 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,000

SEC source: 0001513162-19-000117 · primary_doc.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,050

F1 · kind: 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 the virtue of Rule 16a-3(f)(1)(i)(B), however the reporting the person has elected to voluntarily report the acquisition of the shares.

F2 · price: In accordance with the Plan, the shares were purchased based on 85% of the closing price of Anixa Biosciences, Inc. common stock on November 1, 2018.

SEC source: 0001513162-19-000116 · primary_doc.xml · nonDerivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,900

SEC source: 0001513162-19-000115 · primary_doc.xml · nonDerivative · entry 1

Cavalier David · CIK 0001289783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001513162-19-000113 · primary_doc.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

SEC source: 0001513162-19-000114 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,000

SEC source: 0001513162-19-000111 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

SEC source: 0001513162-19-000110 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 891,544

SEC source: 0001513162-18-000267 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

SEC source: 0001513162-18-000269 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 841,544

SEC source: 0001513162-18-000255 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2028-10-08

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2010 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning October 31, 2018.

SEC source: 0001513162-18-000253 · primary_doc.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2028-10-08

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2010 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning October 31, 2018.

SEC source: 0001513162-18-000254 · primary_doc.xml · derivative · entry 1

Cavalier David · CIK 0001289783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2028-10-08

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2010 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning October 31, 2018.

SEC source: 0001513162-18-000238 · primary_doc.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

SEC source: 0001513162-18-000234 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 839,544

SEC source: 0001513162-18-000235 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,000

SEC source: 0001513162-18-000232 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.951 to $3.9646, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001513162-18-000233 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,000

SEC source: 0001513162-18-000231 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,888

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.9886 to $3.993, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001513162-18-000171 · primary_doc.xml · derivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-07-26

F1 · derivative.exercise_date: The option vests and becomes exercisable in equal installments on a quarterly basis over three years beginning on October 31, 2018.

SEC source: 0001513162-18-000125 · primary_doc.xml · derivative · entry 3

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2028-05-08

F3 · derivative.exercise_date: The option vests and becomes exercisable as follows: (i) 500,000 shares vest if during any 20 trading day period on or before May 31, 2021, the average closing stock price of the issuers common stock is at least $5.00, (ii) 500,000 shares vest if during any 20 trading day period on or before May 31, 2021, the average closing stock price of the issuers common stock is at least $7.00, and (iii) 500,000 shares vest if during any 20 trading day period on or before May 31, 2021, the average closing stock price of the issuers common stock is at least $8.00

SEC source: 0001513162-18-000125 · primary_doc.xml · derivative · entry 2

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2028-05-08

F2 · derivative.exercise_date: The option vests and becomes exercisable in equal installments on a monthly basis over three years beginning on May 31, 2018.

SEC source: 0001513162-18-000125 · primary_doc.xml · derivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2028-05-08

F1 · derivative.exercise_date: The restricted stock award vests in its entirety if during any 20 trading day period on or before May 31, 2021 in which the reporting person is employed by the issuer, the average closing stock price of the issuers common stock is at least $11.00.

SEC source: 0001513162-18-000124 · primary_doc.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-05-08

F1 · derivative.exercise_date: The option vests and becomes exercisable in equal installments on a monthly basis over three years beginning on May 31, 2018.

SEC source: 0001513162-18-000096 · primary_doc.xml · nonDerivative · entry 1

WILLIAMS RICHARD H · CIK 0001105378 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001513162-17-000284 · primary_doc.xml · derivative · entry 2

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,400 shares

Expires 2017-11-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Right-To-Buy, pursuant to the ITUS Corporation 2010 Share Incentive Plan.

SEC source: 0001513162-17-000284 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 834,544

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001513162-17-000266 · primary_doc.xml · derivative · entry 2

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-09-22

F2 · security: Right-To-Buy, pursuant to the Plan.

F3 · derivative.exercise_date: The options vest and become exercisable in four (4) equal installments on each of December 31, 2017, March 31, 2018, June 30, 2018 and September 30, 2018.

SEC source: 0001513162-17-000266 · primary_doc.xml · nonDerivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · security: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

F1 · price: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

SEC source: 0001513162-17-000265 · primary_doc.xml · derivative · entry 2

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-09-22

F2 · security: Right-To-Buy, pursuant to the Plan.

F3 · derivative.exercise_date: The options vest and become exercisable in four (4) equal installments on each of December 31, 2017, March 31, 2018, June 30, 2018 and September 30, 2018.

SEC source: 0001513162-17-000265 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 832,144

F1 · security: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

F1 · price: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

SEC source: 0001513162-17-000264 · primary_doc.xml · derivative · entry 2

JOHNSON BRUCE F · CIK 0001212827 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-09-22

F2 · security: Right-To-Buy, pursuant to the Plan.

F3 · derivative.exercise_date: The options vest and become exercisable in four (4) equal installments on each of December 31, 2017, March 31, 2018, June 30, 2018 and September 30, 2018.

SEC source: 0001513162-17-000264 · primary_doc.xml · nonDerivative · entry 1

JOHNSON BRUCE F · CIK 0001212827 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 604,817

F1 · security: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

F1 · price: Stock Award granted under the ITUS Corporation 2010 Share Incentive Plan (the "Plan").

SEC source: 0001513162-17-000276 · primary_doc.xml · derivative · entry 3

WILLIAMS RICHARD H · CIK 0001105378 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-09-22

F2 · security: Right-To-Buy, pursuant to the Plan.

F3 · derivative.exercise_date: The options vest and become exercisable in four (4) equal installments on each of December 31, 2017, March 31, 2018, June 30, 2018 and September 30, 2018.