Current Report Filing (8-k)
09 December 2022 - 12:41AM
Edgar (US Regulatory)
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2022-12-08
2022-12-08
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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): December 8, 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
December 8, 2022, Anixa Biosciences, Inc. (“we,” “us,” “our,” or the “Company”) issued
a press release announcing that the maximum tolerated dose has been reached in the Phase 1a clinical trial of the Company’s preventative
breast cancer vaccine technology that is being developed in collaboration with The Cleveland Clinic Foundation (the “Cleveland
Clinic”). The press release, which is furnished as Exhibit 99.1 hereto, was issued following a presentation made by certain members
of Cleveland Clinic at the San Antonio Breast Cancer Symposium. Furnished hereto as Exhibit 99.2 is the poster utilized for such presentation.
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 |
|
Press
Release |
99.2 |
|
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:
December 8, 2022
|
ANIXA
BIOSCIENCES, INC. |
|
|
|
|
By: |
/s/
Michael J. Catelani |
|
Name: |
Michael
J. Catelani |
|
Title: |
President,
Chief Operating Officer and Chief Financial Officer |
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