Catelani Michael

SEC source: 0001493152-26-045053 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO, & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

SEC source: 0001493152-26-000686 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 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 thirty-six (36) equal monthly installments beginning January 31, 2026.

SEC source: 0001493152-25-002314 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO, & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,500

SEC source: 0001493152-25-000314 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 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 thirty-six (36) equal monthly installments beginning January 31, 2025.

SEC source: 0001493152-24-023037 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO, & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,211

SEC source: 0001493152-24-017496 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO, & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,961

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 April 30, 2024.

SEC source: 0001493152-24-002529 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 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 thirty-six (36) equal monthly installments beginning January 31, 2024.

SEC source: 0001493152-23-039093 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,772

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 October 31, 2023.

SEC source: 0001493152-23-025185 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,655

SEC source: 0001493152-23-014890 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,155

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 April 28, 2023.

SEC source: 0001493152-23-000422 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 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 thirty-six (36) equal monthly installments beginning January 31, 2023.

SEC source: 0001493152-22-030070 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President, COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,290

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 May 2, 2022.

SEC source: 0001493152-22-011741 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,221

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 April 29, 2022.

SEC source: 0001493152-22-010689 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,135

SEC source: 0001493152-22-010594 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,635

SEC source: 0001493152-22-010024 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-04-14

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 thirty-six (36) equal monthly installments beginning April 30, 2022.

SEC source: 0001493152-22-006626 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 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 thirty-six (36) equal monthly installments beginning March 31, 2022.

SEC source: 0001493152-21-026933 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,126

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 May 3, 2021.

SEC source: 0001493152-21-013454 · ownership.xml · derivative · entry 2

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-06-01

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

F3 · derivative.exercise_date: The options vest and become exercisable in thirty-six (36) equal monthly installments beginning June 30, 2021.

SEC source: 0001493152-21-013454 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 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 as follows: (i) 25,000 shares vest if during any 5 trading day period, the average closing price of the issuer's common stock is at least $5.00, (ii) 25,000 shares vest if during any 5 trading day period, the average closing price of the issuer's common stock is at least $6.00, (iii) 25,000 shares vest if during any 5 trading day period, the average closing price of the issuer's common stock is at least $7.00, and (iv) 25,000 shares vest if during any 5 trading day period, the average closing price of the issuer's common stock is at least $8.00.

SEC source: 0001493152-21-010447 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,383

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 2, 2020.

SEC source: 0001493152-20-024386 · ownership.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-12-23

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 thirty-six (36) equal monthly installments beginning December 31, 2020.

SEC source: 0001493152-20-020408 · ownership.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,749

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 virtue of Rule 16a-3(f)(1)(i)(B), however the reporting 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 May 1, 2020.

SEC source: 0001513162-20-000092 · primary_doc.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,829

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 persons purchase of the shares of common stock is exempt from Section 16(b) under Rule 16b-3(c) and is exempt from the reporting requirements of Section 16 by virtue of Rule 16a-3(f)(1)(i)(B), however the reporting person has elected to voluntarily report the acquisition of the shares.

F2 · price: In accordance with the Plan, the shares were purchased based on 85% of the closing price of Anixa Biosciences, Inc. common stock on April 30, 2020.

SEC source: 0001513162-19-000249 · primary_doc.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2019-12-12

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 thirty-six (36) equal monthly installments beginning December 31, 2019.

SEC source: 0001513162-19-000230 · primary_doc.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,962

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 Service Code. The reporting person's purchase of the shares of common stock is exempt from Section 16(b) under Rule 16b-3(c) and is exempt from the reporting requirements of Section 16 by virtue of Rule 16a-3(f)(1)(i)(B), however the reporting person has elected to voluntarily report the acquisition of the shares.

F2 · price: In accordance with the Plan, the shares were purchased based on 85% of the closing price of Anixa Biosciences, Inc. common stock on October 31, 2019.

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: 0001513162-19-000117 · 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: 0001513162-18-000238 · 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: 0001513162-18-000124 · 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: 0001513162-17-000258 · primary_doc.xml · derivative · entry 4

Catelani Michael · CIK 0001689394 · Chief Operating Officer

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 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 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: 0001513162-17-000258 · primary_doc.xml · derivative · entry 3

Catelani Michael · CIK 0001689394 · Chief Operating Officer

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 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 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: 0001513162-17-000258 · primary_doc.xml · derivative · entry 2

Catelani Michael · CIK 0001689394 · Chief Operating Officer

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 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 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: 0001513162-17-000258 · primary_doc.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · Chief Operating Officer

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 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 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: 0001513162-17-000212 · primary_doc.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-07-06

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

F2 · derivative.exercise_date: The option 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: 0001513162-16-001082 · primary_doc.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-11-15

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

F2 · derivative.exercise_date: The option vest one third on November 15, 2017 and two thirds vest quarterly over two years commencing November 15, 2017.