Form 8-K Anixa Biosciences Inc For: Jun 16

June 16, 2021 4:31 PM EDT

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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): June 16, 2021

 

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 1.02 Termination of a Material Definitive Agreement

 

On June 16, 2021, Anixa Biosciences, Inc. (the “Company”) delivered notice to B. Riley FBR, Inc. (the “B. Riley FBR”) terminating the At-the-Market Issuance Sales Agreement, dated June 21, 2019 (the “Agreement”), with B. Riley FBR effective as of June 21, 2021. The Agreement provided for the Company to offer and sell shares of the Company’s common stock from time to time in an at-the-market equity program through B. Riley FBR, as sales agent.

 

 
 

 

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: June 16, 2021

 

  ANIXA BIOSCIENCES, INC.
     
  By: /s/ Amit Kumar
  Name: Dr. Amit Kumar
  Title: President and Chief Executive Officer

 

 



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