Current Report Filing (8-k)
29 September 2022 - 10:31PM
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2022-09-28
2022-09-28
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or Section 15(d) of the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): September 28, 2022
ANIXA
BIOSCIENCES, INC.
(Exact
name of registrant as specified in its charter)
Delaware |
|
001-37492 |
|
11-2622630 |
(State
or other jurisdiction
of incorporation) |
|
(Commission
File Number) |
|
(IRS
Employer
Identification
No.) |
3150
Almaden Expressway, Suite 250
San
Jose, CA |
|
95118 |
(Address
of principal executive offices) |
|
(Zip
Code) |
Registrant’s
telephone number, including area code: (408) 708-9808
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation to the registrant under
any of the following provisions:
☐ | Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| |
☐ | Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| |
☐ | Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| |
☐ | Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| |
| Securities
registered pursuant to Section 12(b) of the Act: |
Title
of each class |
|
Trading
Symbol(s) |
|
Name
of each exchange on which registered |
Common
Stock, par value $0.01 per share |
|
ANIX |
|
The
NASDAQ Stock Market LLC |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
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. ☐
Item
7.01. |
Regulation
FD Disclosure. |
On
September 28, 2022, Dr. Jose Conejo-Garcia, Senior Member of the Immunology Department at Moffitt Cancer Center and the inventor of Anixa
Biosciences, Inc.’s (“we,” “us,” “our,” or the “Company”) chimeric endocrine receptor
T-cell technology—a new kind of chimeric antigen receptor T-cell technology (CAR-T)—made a virtual presentation at the Rivkin
Center and American Association for Cancer Research (AACR) 14th Biennial Ovarian Cancer Research Symposium. During Dr. Conejo-Garcia’s
presentation, he discussed the science behind our CAR-T technology and the design of our ongoing clinical trial. We have attached
as an exhibit to this Current Report applicable slides from Dr. Conejo-Garcia’s presentation. In addition to his slide presentation,
Dr. Conejo-Garcia stated the latest results of the trial for which enrollment continues. At the current time, one patient has been treated
in the trial and safety signals look favorable, and imaging at one month post-treatment, indicate that the patient’s tumor lesions
are stable and not growing. The patient appears to be doing fine and will continue to be monitored. While these results are very promising,
it is important to note that they are from a single patient at this time. Please see our risk factors included in our Annual Report on
Form 10-K as well as our other reports filed with the Securities and Exchange Commission for a discussion of the risks associated with
our clinical trial.
Statements
that are not historical fact may be considered forward-looking statements within the meaning of the Private Securities Litigation Reform
Act of 1995. Forward-looking statements are not statements of historical facts, but rather reflect our current expectations concerning
future events and results. We generally use the words “believes,” “expects,” “intends,” “plans,”
“anticipates,” “likely,” “will” and similar expressions to identify forward-looking statements. Such
forward-looking statements, including those concerning our clinical trials, involve risks, uncertainties and other factors, some of which
are beyond our control, which may cause our actual results, performance or achievements, or industry results, to be materially different
from any future results, performance, or achievements expressed or implied by such forward-looking statements. These risks, uncertainties
and factors include, but are not limited to, those factors set forth in “Item 1A - Risk Factors” and other sections of our
most recent Annual Report on Form 10-K as well as in our Quarterly Reports on Form 10-Q and Current Reports on Form 8-K. We undertake
no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise,
except as required by law. You are cautioned not to unduly rely on such forward-looking statements when evaluating the information presented
in this Current Report.
Item 9.01 | Financial
Statements and Exhibits |
(d)
Exhibits
The
following exhibits are filed with this Current Report on Form 8-K:
Exhibit No. |
|
Description |
|
|
|
99.1 |
|
Presentation |
|
|
|
104 |
|
Cover Page Interactive Data
File (embedded within the Inline XBRL document) |
SIGNATURES
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.
Dated:
September 29, 2022 |
|
|
|
|
ANIXA
BIOSCIENCES, INC. |
|
|
|
By: |
/s/
Amit Kumar |
|
Name:
|
Dr.
Amit Kumar |
|
Title:
|
Chief
Executive Officer |
Anixa Biosciences (NASDAQ:ANIX)
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