Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Anixa Biosciences IncITUS · Entity 6698 | VP, Finance & CFO | October 20, 2016 | October 24, 2016 |
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 October 20, 2016 · Filed October 24, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 23,321 |
Ending reported balance
After 2016-10-20 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2016-10-20 · Exercise / conversion · Acquired 2,000 · Balance 24,125 F1: The exercise of the option was net settled with the Company and 804 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934, as amended. Row 2 · 2016-10-20 · Disposition to issuer · Disposed 804 · Balance 23,321 F1: The exercise of the option was net settled with the Company and 804 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934, as amended. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.58 · Expires 2016-11-21 | Direct | 0 |
Reported balance
After 2016-10-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-10-20 · Exercise / conversion · Disposed 2,000 · Balance 0 F2: Right-To-Buy, pursuant to the ITUS Corporation 2003 Share Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The exercise of the option was net settled with the Company and 804 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934, as amended.
F2: Right-To-Buy, pursuant to the ITUS Corporation 2003 Share Incentive Plan.
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 |
|---|---|---|---|---|---|---|
| October 20, 2016 Filed Oct 24, 2016 16:36 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | Exercise / conversionEmployee Stock Option · Derivative | 2,000 | $0.00 Strike: $2.58 | $0.00 |
DisclosureSEC source: 0001513162-16-001040 · primary_doc.xml · derivative · entry 3 HERMS HENRY P · CIK 0001232304 · VP, Finance & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2016-11-21 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. F2 · security: Right-To-Buy, pursuant to the ITUS Corporation 2003 Share Incentive Plan. Read SEC document |
| October 20, 2016 Filed Oct 24, 2016 16:36 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | Disposition to issuerCommon Stock | 804 | $6.40 | $5,145.60 |
DisclosureSEC source: 0001513162-16-001040 · primary_doc.xml · nonDerivative · entry 2 HERMS HENRY P · CIK 0001232304 · VP, Finance & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,321 F1 · shares: The exercise of the option was net settled with the Company and 804 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 20, 2016 Filed Oct 24, 2016 16:36 UTC | Anixa Biosciences Inc ITUS · Entity 6698 | Exercise / conversionCommon Stock | 2,000 | $2.58 | $5,150.00 |
DisclosureSEC source: 0001513162-16-001040 · primary_doc.xml · nonDerivative · entry 1 HERMS HENRY P · CIK 0001232304 · VP, Finance & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,125 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 · shares: The exercise of the option was net settled with the Company and 804 shares were withheld to pay the applicable exercise price pursuant to Section 16b-3(e) under the Securities Exchange Act of 1934, as amended. 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.