Baskies Arnold M

SEC source: 0001493152-26-044457 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,572

SEC source: 0001493152-26-035122 · ownership.xml · derivative · entry 3

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

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 a stock option grant dated August 23, 2013.

SEC source: 0001493152-26-035122 · ownership.xml · nonDerivative · entry 2

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,572

F1 · kind: The reporting person exercised the stock options at this time due to their expiration on August 23, 2026. The disposal of shares reported herein represents shares withheld by Anixa Biosciences, Inc. (the "registrant") to cover the exercise price of the stock options.

SEC source: 0001493152-26-035122 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,000

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: 0001493152-26-004148 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,000

SEC source: 0001493152-26-000685 · ownership.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2036-01-05

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning January 31, 2026.

SEC source: 0001641172-25-020362 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

SEC source: 0001493152-25-004108 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

SEC source: 0001493152-25-000313 · ownership.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-01-02

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning January 31, 2025.

SEC source: 0001493152-24-029191 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,000

SEC source: 0001493152-24-010060 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,000

SEC source: 0001493152-24-002531 · ownership.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2034-01-12

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning January 31, 2024.

SEC source: 0001493152-23-000418 · ownership.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-01-03

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning January 31, 2023.

SEC source: 0001062993-22-015132 · form4.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,942

F1 · shares: Each Restricted Stock Unit ("RSU") is the economic equivalent of one share of Baudax Bio, Inc. (the "Company") common stock, and may be settled, at the Company's option, in cash, shares of common stock, or a combination thereof. The RSUs vest in full on June 15, 2023, subject to continued service with the Company through the vesting date. Upon vesting, if settled in cash, each RSU will entitle the grantee to a cash-payment equal to the "Fair Market Value" (as defined in the Company's 2019 Equity Incentive Plan) of one share of the Company's common stock on the vesting date.

SEC source: 0001493152-22-006623 · ownership.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-03-10

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning March 31, 2022.

SEC source: 0001493152-21-017817 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0001493152-21-017005 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

SEC source: 0001493152-21-013457 · ownership.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-06-01

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning June 30, 2021.

SEC source: 0001192482-21-000422 · edgar.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,452

SEC source: 0001493152-21-009223 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,000

SEC source: 0001192482-21-000332 · edgar.xml · derivative · entry 2

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,333

Underlying: Common Stock · 83,333 shares

Expires 2031-04-07

F2 · derivative.exercise_date: The stock option will vest on April 7, 2022.

SEC source: 0001192482-21-000332 · edgar.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,452

F1 · shares: All shares of common stock are represented by unvested restricted stock units that will vest on April 7, 2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

SEC source: 0001493152-21-006789 · ownership.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,000

SEC source: 0001192482-20-000693 · edgar.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: All of the shares of common stock are represented by restricted stock units that will vest 50% on each of August 20, 2021 and August 20, 2022, subject to continued service through the applicable vesting date.

SEC source: 0001513162-20-000170 · primary_doc.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-13

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning August 31, 2020.

SEC source: 0001513162-20-000048 · primary_doc.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,000

SEC source: 0001513162-20-000042 · primary_doc.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

SEC source: 0001513162-20-000022 · primary_doc.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

SEC source: 0001513162-19-000223 · 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 2029-10-23

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning November 30, 2019.

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: 0001513162-19-000113 · 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: 0001513162-18-000253 · 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: 0001513162-17-000256 · primary_doc.xml · derivative · entry 5

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 2027-01-03

F3 · 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.

F3 · 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.

SEC source: 0001513162-17-000256 · primary_doc.xml · derivative · entry 4

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F3 · 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.

F3 · 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.

SEC source: 0001513162-17-000256 · primary_doc.xml · derivative · entry 3

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 2026-08-23

F3 · 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.

F3 · 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 August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-17-000256 · primary_doc.xml · derivative · entry 2

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

F3 · 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.

F3 · 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 August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-17-000256 · primary_doc.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-09-06

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

F2 · derivative.exercise_date: 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.

SEC source: 0001513162-17-000016 · primary_doc.xml · derivative · entry 1

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 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.