Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Anixa Biosciences IncITUS · Entity 6698 | Director | September 06, 2017 | September 08, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Anixa Biosciences Inc
Report date September 06, 2017 · Filed September 08, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.58 · Expires 2024-08-08 | Direct | 0 |
Reported balance
After 2017-09-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-09-06 · Disposition to issuer · Disposed 6,000 · Balance 0 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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: The option was originally granted on August 8, 2014 and vested 50% on September 30, 2016 and 50% on December 31, 2016. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2024-08-08 | Direct | 6,000 |
Reported balance
After 2017-09-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-09-06 · Grant · Acquired 6,000 · Balance 6,000 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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: The option was originally granted on August 8, 2014 and vested 50% on September 30, 2016 and 50% on December 31, 2016. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.58 · Expires 2025-01-02 | Direct | 0 |
Reported balance
After 2017-09-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-09-06 · Disposition to issuer · Disposed 12,000 · Balance 0 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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: The option was originally granted on January 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2025-01-02 | Direct | 12,000 |
Reported balance
After 2017-09-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-09-06 · Grant · Acquired 12,000 · Balance 12,000 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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: The option was originally granted on January 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.92 · Expires 2026-01-14 | Direct | 0 |
Reported balance
After 2017-09-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-09-06 · Disposition to issuer · Disposed 12,000 · Balance 0 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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: The option was originally granted on February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2026-01-14 | Direct | 12,000 |
Reported balance
After 2017-09-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-09-06 · Grant · Acquired 12,000 · Balance 12,000 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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: The option was originally granted on February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $5.30 · Expires 2027-01-03 | Direct | 0 |
Reported balance
After 2017-09-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-09-06 · Disposition to issuer · Disposed 12,000 · Balance 0 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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. F5: 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. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2027-01-03 | Direct | 12,000 |
Reported balance
After 2017-09-06 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-09-06 · Grant · Acquired 12,000 · Balance 12,000 F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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. F5: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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: The option was originally granted on August 8, 2014 and vested 50% on September 30, 2016 and 50% on December 31, 2016.
F3: The option was originally granted on January 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015.
F4: The option was originally granted on February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016.
F5: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | GrantEmployee Stock Option · Derivative | 12,000 | Not disclosed Strike: $0.67 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 8 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2027-01-03 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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. F5 · 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. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | Disposition to issuerEmployee Stock Option · Derivative | 12,000 | Not disclosed Strike: $5.30 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 7 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2027-01-03 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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. F5 · 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. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | GrantEmployee Stock Option · Derivative | 12,000 | Not disclosed Strike: $0.67 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 6 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2026-01-14 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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 February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | Disposition to issuerEmployee Stock Option · Derivative | 12,000 | Not disclosed Strike: $2.92 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 5 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2026-01-14 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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 February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | GrantEmployee Stock Option · Derivative | 12,000 | Not disclosed Strike: $0.67 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 4 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2025-01-02 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | Disposition to issuerEmployee Stock Option · Derivative | 12,000 | Not disclosed Strike: $2.58 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 3 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2025-01-02 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | GrantEmployee Stock Option · Derivative | 6,000 | Not disclosed Strike: $0.67 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 2 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2024-08-08 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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 8, 2014 and vested 50% on September 30, 2016 and 50% on December 31, 2016. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 18:28 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | Disposition to issuerEmployee Stock Option · Derivative | 6,000 | Not disclosed Strike: $2.58 | Not disclosed |
DisclosureSEC source: 0001513162-17-000255 · primary_doc.xml · derivative · entry 1 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2024-08-08 F1 · kind: These transactions involved an amendment of outstanding stock options for the sole purpose of lowering the exercise price, 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 for the sole purpose of lowering the exercise price, 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 8, 2014 and vested 50% on September 30, 2016 and 50% on December 31, 2016. Read SEC document |
| January 03, 2017 Filed Jan 11, 2017 10:53 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | GrantEmployee Stock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $5.30 | $0.00 |
DisclosureSEC source: 0001513162-17-000017 · primary_doc.xml · derivative · entry 1 Fox Dale · CIK 0001617902 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2027-01-03 F1 · security: Right-To-Buy, pursuant to the ITUS Corporation 2010 Share Incentive Plan. F2 · derivative.exercise_date: The options vest and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.