<SEC-DOCUMENT>0001513162-19-000013.txt : 20190110
<SEC-HEADER>0001513162-19-000013.hdr.sgml : 20190110
<ACCEPTANCE-DATETIME>20190110164442
ACCESSION NUMBER:		0001513162-19-000013
CONFORMED SUBMISSION TYPE:	SC 13D/A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20190110
DATE AS OF CHANGE:		20190110

SUBJECT COMPANY:	

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Anixa Biosciences Inc
		CENTRAL INDEX KEY:			0000715446
		STANDARD INDUSTRIAL CLASSIFICATION:	SERVICES-MEDICAL LABORATORIES [8071]
		IRS NUMBER:				112622630
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1031

	FILING VALUES:
		FORM TYPE:		SC 13D/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	005-36989
		FILM NUMBER:		19520649

	BUSINESS ADDRESS:	
		STREET 1:		3150 ALMADEN EXPRESSWAY, SUITE 250
		CITY:			SAN JOSE
		STATE:			CA
		ZIP:			95118
		BUSINESS PHONE:		408-708-9808

	MAIL ADDRESS:	
		STREET 1:		3150 ALMADEN EXPRESSWAY, SUITE 250
		CITY:			SAN JOSE
		STATE:			CA
		ZIP:			95118

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	ITUS Corp
		DATE OF NAME CHANGE:	20140902

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	COPYTELE INC
		DATE OF NAME CHANGE:	19920703

FILED BY:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			KUMAR AMIT
		CENTRAL INDEX KEY:			0001191905

	FILING VALUES:
		FORM TYPE:		SC 13D/A

	MAIL ADDRESS:	
		STREET 1:		C/O ACACIA RESEARCH CORPORATION
		STREET 2:		500 NEWPORT CENTER DRIVE, 7TH FLOOR
		CITY:			NEWPORT BEACH
		STATE:			CA
		ZIP:			92660
</SEC-HEADER>
<DOCUMENT>
<TYPE>SC 13D/A
<SEQUENCE>1
<FILENAME>schedule_13da.htm
<DESCRIPTION>SCHEDULE 13D/A
<TEXT>
<HTML>
<head><title>Schedule 13D-A</title> </head> <body style="FONT-SIZE:10pt; FONT-FAMILY:'Times New Roman'; MARGIN-TOP:0px; COLOR:#000000"><a name=filing_1><a name=doc_1_1> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>SECURITIES AND EXCHANGE COMMISSION</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Washington, D.C. 20549</p> <p style=MARGIN:0px align=center><br></p> <p style=MARGIN:0px align=center><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>SCHEDULE 13D</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Rule 13d-102)</p> <p style=MARGIN:0px align=center><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>INFORMATION TO BE IN INCLUDED IN STATEMENTS FILED PURSUANT</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>RULE 13d-2(a)</p> <p style=MARGIN:0px align=center><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Amendment No. 3)</p> <p style=MARGIN:0px align=center><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>ANIXA BIOSCIENCES, INC.</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Name of Issuer)</p> <p style=MARGIN:0px align=center><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>Common Stock, $0.01 par value per share</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Title of Class of Securities)</p> <p style=MARGIN:0px align=center><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>03528H109</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(CUSIP Number)</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>Amit Kumar</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>c/o Anixa Biosciences, Inc.</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>3150 Almaden Expressway, Suite 250</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>San Jose, CA 90025 </b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>December 31, 2018</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Date of Event which Requires Filing of this Statement)</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px">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 Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [<b> </b>].</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px">NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule13d-7(b) for other parties to whom copies are to be sent. </p> <p style="FONT-SIZE:11pt; MARGIN:0px">---------------------- </p> <p style="FONT-SIZE:11pt; MARGIN:0px">&nbsp;&nbsp;&nbsp;1 The remainder of this cover page shall be filled out for a reporting person&#146;s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosure provided in a prior cover page.</p> <p style="FONT-SIZE:11pt; MARGIN:0px">&nbsp;&nbsp;&nbsp;</p> <p style="FONT-SIZE:11pt; MARGIN:0px">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 (&#147;Act&#148;) 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).</p> <p style="FONT-SIZE:11pt; MARGIN:0px">&nbsp;</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center> <hr> <DIV style="PAGE-BREAK-BEFORE: always"> </DIV> <br> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:288px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>CUSIP No. 45069V203</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:192px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;13D/A &nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></u></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>1.</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>NAME OF REPORTING PERSONS</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left; CLEAR:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>(ENTITIES ONLY)&nbsp;&nbsp;<br></font></p> <p style="MARGIN:0px; TEXT-INDENT:0px"><font style=FONT-SIZE:10pt><b><u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Amit Kumar&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u></b></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>2. </font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:480px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>(a) [ ]</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:384px; MARGIN-TOP:0px; FLOAT:left; CLEAR:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>(b) [ ]</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt><u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u><br></font></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>3. </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>SEC USE ONLY</font></p> <p style="CLEAR:left; MARGIN:0px"><br><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </font></u></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>4. </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>SOURCE OF FUNDS* </font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><strong><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; OO&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></u></strong></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left; CLEAR:left"><font style=FONT-SIZE:10pt>5. </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS</font></p> <p style="FONT-SIZE:11pt; CLEAR:left; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>2(d) OR 2(e) [ ]</font></p> <p style=MARGIN:0px>&nbsp;</p> <p style=MARGIN:0px><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </font></u></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>6. </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>CITIZENSHIP OR PLACE OF ORGANIZATION</font></p> <p style="FONT-SIZE:11pt; CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:0px"><b><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;United States of America&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></u></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>NUMBER OF &nbsp;&nbsp;&nbsp;&nbsp;7. &nbsp;SOLE VOTING POWER &nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>SHARES &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:144px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>BENEFICIALLY</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><u><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt><strong>&nbsp; &nbsp;&nbsp; 3,198,667</strong><strong><sup>1</sup></strong><strong>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </strong></font></font></u></p> <p style="FONT-SIZE:11pt; CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:10pt>OWNED BY &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;8. &nbsp;SHARED VOTING POWER &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>EACH &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt>REPORTING&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<u>&nbsp;&nbsp;&nbsp;&nbsp; <strong>&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp; -0-&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </strong></u></font></font></p> <p style="FONT-SIZE:11pt; CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:10pt>PERSON WITH &nbsp;&nbsp;&nbsp;9. &nbsp;SOLE DISPOSITIVE POWER </font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:144px"><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt>&nbsp;<strong><u>&nbsp;&nbsp; &nbsp;&nbsp;1,698,667</u></strong><strong><u><sup>2</sup></u></strong><strong><u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp; </u></strong></font></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;10. SHARED DISPOSITIVE POWER</font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:0px"><b><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; -0-&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u></font></font></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt><u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u><br></font></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</font></p> <p style=MARGIN:0px><br><font style=FONT-SIZE:10pt>&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:0px"><b><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3,198,667 (See Item 5)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </font></u></b></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]</font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt><u>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </u><br></font></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:0px"><b><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; 15.8%&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </font></u></b></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>14. TYPE OF REPORTING PERSON * </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></u></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt><sup>1</sup> Consists of (i) 150,000 shares of common stock, (ii) 1,546,667 shares of common stock underlying options that are exercisable within 60 days of the date hereof, (iii) 1,500,000 unvested shares of common stock issued pursuant to a restricted stock award over which Dr. Kumar currently has the right to vote subject to forfeiture in the future, and (iv) 2,000 shares of common stock underlying warrants that are exercisable within 60 days of the date hereof.</font></font></p> <p style=MARGIN:0px><font style=FONT-SIZE:10pt>&nbsp;<sup>2</sup> Consists of (i) 150,000 shares of common stock, (ii) 1,546,667 shares of common stock underlying options that are exercisable within 60 days of the date hereof and (iii) 2,000 shares of common stock underlying warrants that are exercisable within 60 days of the date hereof</font></p> <p style=MARGIN:0px></p><font style=FONT-SIZE:10pt> <hr> <DIV style="PAGE-BREAK-BEFORE: always"> </DIV> </font> <p> <p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:0px"><b><u><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; IN&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </font></u></b></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><b><font style=FONT-SIZE:10pt>Item 1. &nbsp;Security and Issuer.</font></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>This statement relates to the common stock, $0.01 par value per share (the &#147;Common Stock&#148;), of Anixa Biosciences, Inc. (the &#147;Company&#148;). The principal executive office of the Company is located at 3150 Almaden Expressway, Suite 250, San Jose, CA 95118.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>All information contained in this Schedule 13D/A is, after reasonable inquiry and to the best of the Reporting Persons&#146; knowledge and belief, true, complete and correct as of the date of this Schedule 13D/A.</font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><b><font style=FONT-SIZE:10pt>Item 2. &nbsp;Identity and Background.</font></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>(a)</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>This statement is being filed by Dr. Amit Kumar (the &#147;Reporting Person&#148;).</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:96px; MARGIN-TOP:0px; FLOAT:left; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>(b)</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>&nbsp;The principal business address of the Reporting Person is 3150 Almaden Expressway, Suite 250, San Jose, CA 95118.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>(c)</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>The Reporting Person is President, Chief Executive Officer and Chairman of the Board of Directors of the Company.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:96px; MARGIN-TOP:0px; FLOAT:left; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>(d)</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>The Reporting Person has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>(e)</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>The Reporting Person has not, during the last five years, been party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>(f) </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>The Reporting Person is a citizen of the United States of America. </font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><b><font style=FONT-SIZE:10pt>Item 3. &nbsp;Source and Amount of Funds or Other Consideration.</font></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>Reference is made to that certain Current Report on Form 8-K filed by the Company on May 14, 2018 (the &#147;May 8-K&#148;). &nbsp;As disclosed in the May 8-K, on May 8, 2018, the compensation committee of the Board of Directors of the Company approved the following for the stock-based compensation of Dr. Amit Kumar. Dr. Kumar will receive two stock option grants and a restricted stock award pursuant to the Anixa Biosciences, Inc. 2018 Share Incentive Plan (the &#147;Plan&#148;). The stock option grants are to purchase 600,000 shares of Common Stock (such option grant, the &#147;Time Based Option Grant&#148;) and 1,500,000 shares of Common Stock (such option grant, the &#147;Performance Based Option Grant&#148;), respectively, at an exercise price of $3.70 (the closing price of the Common Stock on the Nasdaq Capital Market on May 8, 2018). The Time Based Option Grant has a 10 year term and vests on a monthly basis over three years beginning on May 31, 2018. If Dr. Kumar is terminated other than for cause within 12 months following a change of control, the Time Based Option Grant will automatically vest in its entirety and Dr. Kumar will have 90 days to exercise such grant. If Dr. Kumar&#146;s employment is terminated other than for cause unrelated to a change of control, for cause, or he retires or otherwise resigns, the Time Based Option Grant will cease vesting and Dr. Kumar will have 90 days to exercise the vested portion of such grant. The Performance Based Option Grant has a 10 year term and vests as follows: (i) 500,000 shares vest if during any 20 trading day period on or before May 31, 2021, the average closing stock price of the Common Stock is at least $5.00, (ii) 500,000 shares vest if during any 20 trading day period on or before May 31, 2021, the average closing stock price of the Common Stock is at least $7.00, and (iii) 500,000 shares vest if during any 20 trading day period on or before May 31, 2021, the average closing stock price of the Common Stock is at least $8.00. </font><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt>If Dr. Kumar&#146;s employment is terminated or he resigns, the Performance Based Option Grant will cease vesting and Dr. Kumar will have 90 days to exercise the vested portion of such grant. Dr. Kumar also received a restricted stock award (the &#147;RSA&#148;) of 1,500,000 shares of Common Stock. </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px" align=center></p><font style=FONT-SIZE:10pt> <hr> <DIV style="PAGE-BREAK-BEFORE: always"> </DIV> </font> <font style=FONT-SIZE:10pt>The RSA vests in its entirety if during any 20 trading day period on or before May 31, 2021 in which Dr. Kumar is employed by the Company, the average closing stock price of the Common Stock is at least $11.00. Dr. Kumar has voting control over the 1,500,000 shares of Common Stock unless and until such time as the RSA is forfeited. The vesting of a portion of the Time Based Option Grant and the granting of the RSA (which were granted for no consideration) caused the Reporting Person&#146;s beneficial ownership to materially increase from the Reporting Person&#146;s ownership as of the date of filing of the previous Schedule 13D/A. </font></font> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px">&nbsp;</p> <p style="FONT-SIZE:11pt; MARGIN:0px"><b><font style=FONT-SIZE:10pt>Item 4. Purpose of Transaction.</font></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>The Reporting Person does not currently have any plans or proposals that relate to or would result in (a) the acquisition by any person of additional securities of the Company or the disposition of securities of the Company; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Company or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Company or any of its subsidiaries; (d) any change in the present board of directors or management of the Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the Company; (f) any other material change in the Company's business or corporate structure; (g) changes in the Company&#146;s certificate of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person; (h) causing a class of securities of the Company to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the&nbsp;Exchange Act; or (j) any action similar to any of those enumerated above.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><b><font style=FONT-SIZE:10pt>Item 5. &nbsp;Interest in Securities of the Issuer.</font></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:96px; MARGIN-TOP:0px; FLOAT:left; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>(a) </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>As of January 8, 2019, the Reporting Person beneficially owns 3,198,667 shares of Common Stock consisting of 150,000 shares of common stock, (ii) 1,546,667 shares of common stock underlying options that are exercisable within 60 days of the date hereof, (iii) 1,500,000 unvested shares of common stock issued pursuant to a restricted stock award over which Dr. Kumar currently has the right to vote subject to forfeiture in the future, and (iv) 2,000 shares of common stock underlying warrants that are exercisable within 60 days of the date hereof. These shares, in the aggregate, represent 15.8% of the shares of the Company. </font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>(b) </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>The number of shares of Common Stock over which the Reporting Person has the power to vote and the power to dispose is as follows:</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>1. Sole power to vote or to direct vote: 3,198,667</font></p> <p style="FONT-SIZE:11pt; CLEAR:left; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>2. Shared power to vote or to direct vote: -0- </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>3. Sole power to dispose or to direct the disposition: 1,698,667</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>4. Shared power to dispose or to direct the disposition -0- </font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:96px; MARGIN-TOP:0px; FLOAT:left; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>(c)</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>Except as described in Item 3 of this Statement, there have been no transactions effected with respect to the Securities within the past 60 days of the date hereof by the Reporting Person.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:96px; MARGIN-TOP:0px; FLOAT:left; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>(d) </font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>No person(s) other than the Reporting Person is known to have the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, the shares of Common Stock beneficially owned by the Reporting Person.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:96px; MARGIN-TOP:0px; FLOAT:left; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>(e)</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>Not applicable.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:11pt><font style=FONT-SIZE:10pt><b>Item 6. &nbsp;Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer</b>.</font></font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN-BOTTOM:-2px; WIDTH:48px; MARGIN-TOP:0px; FLOAT:left"><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><font style=FONT-SIZE:10pt>Other than as described herein, there are no contracts, arrangements, understandings or relationships between the Reporting Person and any other person, with respect to the securities of the Company.</font></p> <p style="CLEAR:left; MARGIN:0px"><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><b><font style=FONT-SIZE:10pt>Item 7. &nbsp;Material to be Filed as Exhibits.</font></b></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>None.</font></p> <font style=FONT-SIZE:10pt> <hr> <DIV style="PAGE-BREAK-BEFORE: always"> </DIV> </font> </font><br> <p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><font style=FONT-SIZE:10pt>SIGNATURES</font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:48px"><font style=FONT-SIZE:10pt>After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.</font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>Dated: January 10, 2019</font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style=MARGIN:0px><font style=FONT-SIZE:11pt><br></font></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><u><font style=FONT-SIZE:10pt>/s/ Dr. Amit Kumar&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </font></u></p> <p style="FONT-SIZE:11pt; MARGIN:0px"><font style=FONT-SIZE:10pt>Dr. Amit Kumar</font></p> <p style="FONT-SIZE:11pt; MARGIN:0px">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</p></a></body>
<!-- EDGAR Validation Code: E9CB9DE1 -->
</HTML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
