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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 007)*
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Anixa Biosciences Inc (Name of Issuer) |
Common Stock (Title of Class of Securities) |
03528H109 (CUSIP Number) |
Amit Kumar 3150 Almaden Expressway, Suite 250 San Jose, CA, 95118 408-708-9808 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) |
01/02/2025 (Date of Event Which Requires Filing of This Statement) |
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other
provisions of the Act (however, see the Notes).
SCHEDULE 13D
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| CUSIP No. | 03528H109 |
| 1 |
Name of reporting person
Amit Kumar | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
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| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
OO | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
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| 6 | Citizenship or place of organization
CALIFORNIA
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
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| 11 | Aggregate amount beneficially owned by each reporting person
5,653,343.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
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| 13 | Percent of class represented by amount in Row (11)
15.1 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
IN |
SCHEDULE 13D
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| Item 1. | Security and Issuer |
| (a) | Title of Class of Securities:
Common Stock |
| (b) | Name of Issuer:
Anixa Biosciences Inc |
| (c) | Address of Issuer's Principal Executive Offices:
3150 Almaden Expressway, Suite 250, San Jose,
CALIFORNIA
, 95118. |
| Item 5. | Interest in Securities of the Issuer |
| (a) | As of the date hereof, Dr. Kumar beneficially owns 5,653,343 shares of the Issuer, consisting of 516,925 shares of common stock held directly and 5,136,418 shares of common stock issuable upon exercise of stock options held directly and exercisable within 60 days. Such shares represent a total of 15.1% of the Issuer's outstanding shares of common stock, an increase from the 13.5% reported on Dr. Kumar's Amendment No. 6 to Schedule 13D. The change in ownership is the result of market purchases, the vesting of previously outstanding stock options, a change in the number of stock options that are not yet exercisable but will be exercisable within 60 days and the receipt of newly granted stock options. On January 2, 2025, Dr. Kumar was granted a stock option to purchase 700,000 shares pursuant to the Anixa Biosciences, Inc. 2018 Share Incentive Plan (the "Plan") at an exercise price of $2.37 per share pursuant to the Plan. The option expires on January 2, 2035 and vests and becomes exercisable in thirty-six (36) equal monthly installments beginning January 31, 2025. Those shares vesting within 60 days are included in the 5,136,418 shares of common stock issuable upon exercise of stock options beneficially owned by Dr. Kumar as of the date hereof.
Dr. Kumar has the sole power to vote or direct the vote of, and to dispose or direct the disposition of, the entirety of the number of shares indicated immediately above. There are no other persons known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities. |
| SIGNATURE | |
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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