<SEC-DOCUMENT>0001513162-20-000088.txt : 20200420
<SEC-HEADER>0001513162-20-000088.hdr.sgml : 20200420
<ACCEPTANCE-DATETIME>20200420160611
ACCESSION NUMBER:		0001513162-20-000088
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200414
ITEM INFORMATION:		Entry into a Material Definitive Agreement
FILED AS OF DATE:		20200420
DATE AS OF CHANGE:		20200420

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Anixa Biosciences Inc
		CENTRAL INDEX KEY:			0000715446
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				112622630
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1031

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-37492
		FILM NUMBER:		20802613

	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
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>form8k.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<HTML>
<head><title>Form 8-K</title> </head> <body lang=EN-US> <div style=page:WordSection1> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; PADDING-TOP:0px; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>UNITED STATES</font></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>SECURITIES AND EXCHANGE COMMISSION</font></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>Washington, D.C. 20549</font></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><u><font style='FONT-FAMILY:"Times New Roman","serif"'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&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:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center>&nbsp;</p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>FORM 8-K</font></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center>&nbsp;</p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>CURRENT REPORT</font></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934</font></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>Date of Report (Date of earliest event reported):&nbsp; April 14, 2020</font></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><u></u></b>&nbsp;</p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><u><font style='FONT-FAMILY:"Times New Roman","serif"'>ANIXA BIOSCIENCES, INC.</font></u></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>(Exact name of registrant as specified in its charter)</font></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center>&nbsp;</p> <div align=center> <table width=667 bordercolor=transparent style="WIDTH:500pt; BORDER-COLLAPSE:collapse" cellpadding=0 cellspacing=0> <tr> <td width=194 style="WIDTH:145.7pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=top> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>Delaware</font></b></p></td> <td width=175 style="WIDTH:130.95pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=top> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>000-11254</font></b></p></td> <td width=170 style="WIDTH:127.45pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=top> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>11-2622630</font></b></p></td></tr> <tr> <td width=194 style="WIDTH:145.7pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=top> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>(State or other jurisdiction<br>of incorporation)</font></p></td> <td width=175 style="WIDTH:130.95pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=top> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>(Commission<br>File Number)</font></p></td> <td width=170 style="WIDTH:127.45pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=top> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>(IRS Employer</font></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>Identification No.)</font></p></td></tr></table></div> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; MARGIN:0in 0in 0pt'>&nbsp;</p> <div align=center> <table width=667 bordercolor=transparent style="WIDTH:500pt; BORDER-COLLAPSE:collapse" cellpadding=0 cellspacing=0> <tr> <td width=349 style="WIDTH:261.9pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=bottom> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>3150 Almaden Expressway, Suite 250</font></b></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"'>San Jose, CA</font></b></p></td> <td width=337 style="WIDTH:252.9pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt" valign=bottom> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-FAMILY:"Times New Roman","serif"' lang=FR>95118</font></b></p></td></tr> <tr> <td width=349 style="WIDTH:261.9pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt"> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>(Address of principal executive offices)</font></p></td> <td width=337 style="WIDTH:252.9pt; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt"> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>(Zip Code)</font></p></td></tr></table></div> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>Registrant&#146;s telephone number, including area code:&nbsp; <b>(408) 708-9808</b></font></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; MARGIN:0in 0in 0pt'><font style='FONT-FAMILY:"Times New Roman","serif"'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&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:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style='FONT-FAMILY:"Times New Roman","serif"'>(Former name or former address, if changed since last report)</font></p> <p style='FONT-SIZE:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><u><font style='FONT-FAMILY:"Times New Roman","serif"'>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&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:10pt; FONT-FAMILY:"Courier New"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><u></u></b>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt'><a name=up><font style=FONT-SIZE:10pt>Check the appropriate box below if the Form&nbsp;8-K filing is intended to simultaneously satisfy the filing obligation to the registrant under any of the following provisions: </font></a></p><br> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt 0.5in; TEXT-INDENT:-0.5in'><a name=Check1><font style="FONT-SIZE:10pt; FONT-FAMILY:Wingdings; COLOR:black">o</font></a><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Written communications pursuant to Rule&nbsp;425 under the Securities Act (17&nbsp;CFR&nbsp;230.425)</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt 0.5in; TEXT-INDENT:-0.5in'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt 0.5in; TEXT-INDENT:-0.5in'><font style="FONT-SIZE:10pt; FONT-FAMILY:Wingdings; COLOR:black">o</font><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Soliciting material pursuant to Rule&nbsp;14a-12 under the Exchange Act (17&nbsp;CFR&nbsp;240.14a-12)</font></p><br> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt 0.5in; TEXT-INDENT:-0.5in'><font style="FONT-SIZE:10pt; FONT-FAMILY:Wingdings; COLOR:black">o</font><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule&nbsp;14d-2(b) under the Exchange Act (17&nbsp;CFR&nbsp;240.14d-2(b))</font></p><br> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt 0.5in; TEXT-INDENT:-0.5in'><font style="FONT-SIZE:10pt; FONT-FAMILY:Wingdings; COLOR:black">o</font><font style=FONT-SIZE:10pt>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule&nbsp;13e-4(c) under the Exchange Act (17&nbsp;CFR&nbsp;240.13e-4(c))</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'><font style=FONT-SIZE:10pt><br>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Securities registered pursuant to Section 12(b) of the Act:&nbsp;&nbsp;</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p> <div align=center> <table width=85% bordercolor=transparent style="WIDTH:85%; BORDER-COLLAPSE:collapse" cellpadding=0 cellspacing=0> <tr> <td width=47% style="BORDER-TOP:0px; BORDER-RIGHT:0px; WIDTH:47.02%; BORDER-BOTTOM:black 1pt solid; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; BORDER-LEFT:0px; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style=FONT-SIZE:10pt>Title of each class</font></b></p></td> <td width=1% style="WIDTH:1%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center>&nbsp;</p></td> <td width=20% style="BORDER-TOP:0px; BORDER-RIGHT:0px; WIDTH:20%; BORDER-BOTTOM:black 1pt solid; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; BORDER-LEFT:0px; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style=FONT-SIZE:10pt>Trading Symbol(s)</font></b></p></td> <td width=1% style="WIDTH:1%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center>&nbsp;</p></td> <td width=31% style="BORDER-TOP:0px; BORDER-RIGHT:0px; WIDTH:31%; BORDER-BOTTOM:black 1pt solid; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; BORDER-LEFT:0px; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style=FONT-SIZE:10pt>Name of each exchange on which registered</font></b></p></td></tr> <tr> <td style="PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=top> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style=FONT-SIZE:10pt>Common Stock, par value $0.01 per share</font></p></td> <td style="PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=top> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p></td> <td style="PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=top> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style=FONT-SIZE:10pt>ANIX</font></p></td> <td style="PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=top> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p></td> <td style="PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=top> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style=FONT-SIZE:10pt>The NASDAQ Stock Market LLC</font></p></td></tr></table></div><br> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt' align=justify><font style=FONT-SIZE:10pt>Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt 0.5in; TEXT-INDENT:-0.5in'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt 0.5in; TEXT-INDENT:-0.5in'><font style=FONT-SIZE:10pt>Emerging growth company </font><font style="FONT-SIZE:10pt; FONT-FAMILY:Wingdings; COLOR:black">o</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt' align=justify><font style=FONT-SIZE:10pt>If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. </font><font style="FONT-SIZE:10pt; FONT-FAMILY:Wingdings; COLOR:black">o</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style=FONT-SIZE:10pt>1</font></p> <div style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center> <hr> <DIV style="PAGE-BREAK-BEFORE: always"> </DIV> </div> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt'><b><font style="FONT-SIZE:11pt; COLOR:black">Item 1.01&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Entry into a Material Definitive Agreement.</font></b></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'><font style="FONT-SIZE:11pt; COLOR:black">On April 14, 2020, Anixa Biosciences, Inc. (the &#147;Company&#148;) entered into a collaboration agreement (the &#147;Agreement&#148;) with OntoChem GmbH (&#147;OntoChem&#148;) for the purpose of discovering and ultimately developing anti-viral drug candidates for Covid-19. Based upon criteria developed by the Company in collaboration with OntoChem, the parties have developed a research plan pursuant to which OntoChem will utilize advanced computational methods, machine learning and molecular modeling techniques to perform <i>in silico</i> screening of over 1.2 billion compounds in OntoChem&#146;s chemistry and gene ontology database (including publicly available compounds and OntoChem&#146;s proprietary libraries) to evaluate if any of these compounds could disrupt one of two key enzymes of Covid-19. Upon completion of this screening process, the Company will have the right to select up to a certain number of compounds that meet the prescribed criteria and the Company will have sole authority and control for the further development, manufacture, and commercialization of such compounds and any product candidates or products incorporating such compounds (the parties have agreed that OntoChem will not use or disclose to any third party any compounds that meet the criteria but are not selected by the Company for a negotiated period of time after the Company selection date and the Company will have a right of first negotiation if OntoChem discovers any applicable use of such rejected compounds during that time period). </font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'><font style="FONT-SIZE:11pt; COLOR:black">The Company will own all inventions related to any of the selected compounds (other than intellectual property that was previously developed by OntoChem related to such compounds) unless the Company terminates its rights with respect to such compound or the Company&#146;s rights to such compound are otherwise terminated in accordance with the Agreement. OntoChem has further agreed to grant the Company a license to use all of its intellectual property related to the compounds that the Company selects.</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'><font style="FONT-SIZE:11pt; COLOR:black">As consideration, the Company will pay to OntoChem a fixed payment of 100,002 Euros (payable in installments) and will reimburse OntoChem for its out of pocket expenses in connection with the collaboration, including an estimated 110,000 Euros for medicinal chemistry and compound synthesis. To the extent that the Company desires to engage in any additional screening, synthesis or biological testing of any compounds, the parties have agreed to negotiate the fees at a later time. The Company will further pay to OntoChem an annual fee of 10,000 U.S. Dollars for each compound that is selected (along with its variants) which such payments will be made until a negotiated end date unless sooner terminated in accordance with the Agreement. The Company has also agreed to make a single milestone payment of 300,000 U.S. Dollars after the dosing of the first patient in the first human clinical trial for the first product incorporating a compound. There shall be no royalties or additional milestone payments due for the continued development and commercialization of any compounds discovered under this collaboration.</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'><font style="FONT-SIZE:11pt; COLOR:black">The Agreement will remain in effect until the completion of the research program unless sooner terminated by Anixa by written notice or by either party for cause. The Company&#146;s rights with respect to each compound will remain in full force and effect unless or until the Company provides written notice of a termination of the compound or if there has not been a patient dosed in a human clinical trial incorporating such compound by a negotiated upon date. If the Company&#146;s rights with respect to a compound are terminated, the Company will assign to OntoChem any intellectual property related to such terminated compound and the Company will not have any further rights or any further payment obligations with respect to such compound.</font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style=FONT-SIZE:10pt>2</font></p> <div style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center> <hr> <DIV style="PAGE-BREAK-BEFORE: always"> </DIV> </div> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 8pt; LINE-HEIGHT:107%'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Calibri","sans-serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><b><font style='FONT-SIZE:10pt; FONT-FAMILY:"Times New Roman","serif"'>SIGNATURES</font></b></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:justify; MARGIN:0in 0in 0pt; TEXT-INDENT:0.5in'><font style=FONT-SIZE:10pt>Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. </font></p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p> <table width=600 bordercolor=transparent style="WIDTH:6.25in; BORDER-COLLAPSE:collapse; MARGIN-LEFT:-0.75pt" cellpadding=0 cellspacing=0> <tr style=HEIGHT:15pt> <td width=51% nowrap style="HEIGHT:15pt; WIDTH:51%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'><font style=FONT-SIZE:10pt lang=EN-IN>Dated: April 20, 2020</font></p></td> <td width=48% colspan=2 nowrap style="HEIGHT:15pt; WIDTH:48%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'>&nbsp;</p></td></tr> <tr style=HEIGHT:15pt> <td width=51% nowrap style="HEIGHT:15pt; WIDTH:51%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <td width=48% colspan=2 nowrap style="HEIGHT:15pt; WIDTH:48%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'><font style="FONT-SIZE:10pt; COLOR:black" lang=EN-IN>ANIXA BIOSCIENCES, INC.</font></p></td></tr> <tr style=HEIGHT:15pt> <td width=51% nowrap style="HEIGHT:15pt; WIDTH:51%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <td width=48% colspan=2 nowrap style="HEIGHT:15pt; WIDTH:48%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:20pt; PADDING-RIGHT:0in" valign=bottom /> </tr><tr style=HEIGHT:15.75pt> <td width=51% nowrap style="HEIGHT:15.75pt; WIDTH:51%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <td width=3% nowrap style="HEIGHT:15.75pt; WIDTH:3%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'><font style="FONT-SIZE:10pt; COLOR:black" lang=EN-IN>By:&nbsp;</font></p></td> <td width=44% nowrap style="BORDER-TOP:0px; HEIGHT:15.75pt; BORDER-RIGHT:0px; WIDTH:44%; BORDER-BOTTOM:windowtext 1pt solid; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; BORDER-LEFT:0px; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'><font style="FONT-SIZE:10pt; COLOR:black" lang=EN-IN>/s/ Amit Kumar</font></p></td></tr> <tr style=HEIGHT:15.75pt> <td width=51% nowrap style="HEIGHT:15.75pt; WIDTH:51%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <td width=3% nowrap style="HEIGHT:15.75pt; WIDTH:3%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <td width=44% nowrap style="HEIGHT:15.75pt; WIDTH:44%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'><font style="FONT-SIZE:10pt; COLOR:black" lang=EN-IN>Name: Dr. Amit Kumar</font></p></td></tr> <tr style=HEIGHT:15.75pt> <td width=51% nowrap style="HEIGHT:15.75pt; WIDTH:51%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <td width=3% nowrap style="HEIGHT:15.75pt; WIDTH:3%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <td width=44% nowrap style="HEIGHT:15.75pt; WIDTH:44%; PADDING-BOTTOM:0in; PADDING-TOP:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in" valign=bottom> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 0pt'><font style="FONT-SIZE:10pt; COLOR:black" lang=EN-IN>Title: President and Chief Executive Officer</font></p></td></tr></table> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; MARGIN:0in 0in 8pt; LINE-HEIGHT:107%'>&nbsp;</p> <p style='FONT-SIZE:12pt; FONT-FAMILY:"Times New Roman","serif"; TEXT-ALIGN:center; MARGIN:0in 0in 0pt' align=center><font style=FONT-SIZE:10pt>3</font></p></div></body>
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