Anixa Biosciences Inc SEC Filings

Anixa Biosciences, Inc. is asking stockholders to vote at its 2026 Annual Meeting, which will be held virtually on March 10, 2026 at 10:00 a.m. Pacific time. Stockholders of record as of January 13, 2026, when 33,379,505 common shares were outstanding, may vote.

Investors are being asked to elect four directors (Dr. Amit Kumar, Dr. Arnold Baskies, Emily Gottschalk and Lewis H. Titterton Jr.) for one-year terms, approve on a non-binding, advisory basis the compensation of the named executive officers, and ratify Haskell & White LLP as independent registered public accounting firm for the fiscal year ending October 31, 2026.

The Board unanimously recommends voting “FOR” all four director nominees, “FOR” the advisory say‑on‑pay proposal, and “FOR” ratification of the auditor. The proxy explains how to vote by internet, telephone, mail, or at the virtual meeting, and details board committees, governance practices, and executive and director compensation.

Anixa Biosciences, Inc. is an early-stage biotechnology company focused on oncology, developing a CAR-T cell therapy and multiple cancer vaccines rather than generating product revenue. Its lead therapeutic, lira-cel, is a follicle stimulating hormone receptor–targeted CAR-T for ovarian cancer in a Phase 1 dose-escalation trial at Moffitt Cancer Center; four dose cohorts up to 30-times the initial dose have been treated and the therapy has been described as well-tolerated with anecdotal signs of efficacy in heavily pretreated patients.

The company’s breast cancer vaccine, licensed from Cleveland Clinic and targeting α-lactalbumin, completed a 35-participant Phase 1 trial, meeting all primary endpoints and showing protocol-defined immune responses in 74% of subjects with mainly injection-site irritation as the key adverse event. Final data were presented in December 2025 and will guide planned Phase 2, including a potential Keytruda combination study. Anixa is also advancing an ovarian cancer vaccine within the NCI PREVENT program and an early discovery effort for lung, colon and prostate cancer vaccines.

Financially, as of October 31, 2025 Anixa reported an accumulated deficit of approximately $251,677,000, fiscal 2025 losses of about $11,028,000, cash, cash equivalents and short-term investments of roughly $15,174,000, and working capital of about $13,920,000. Management believes existing resources can fund operations for at least 12 months, but the company expects to continue incurring losses, remains pre-revenue in therapeutics and vaccines, and may need substantial additional capital, including under a current at-the-market equity program that permits up to $100 million of future common stock sales.

Michael CatelaniAnixa Biosciences, Inc., has filed an amended Schedule 13D reporting increased beneficial ownership of the company’s common stock. He now beneficially owns 2,468,103 shares of Anixa common stock, representing 7.0% of the outstanding shares. This total consists of 44,500 shares of common stock held directly and 2,423,603 shares issuable upon exercise of stock options that are exercisable within 60 days.

The filing notes that this ownership level has risen from 5.25% previously, driven by market purchases, vesting of existing stock options, and a change in which options become exercisable within 60 days. The triggering event was the January 5, 2026 grant to Mr. Catelani of a stock option to purchase up to 175,000 shares of common stock at an exercise price of $3.18 per share. He holds sole voting and dispositive power over all of these shares, and no other persons are identified as having rights to dividends or sale proceeds.

Anixa Biosciences director Lewis H. Titterton Jr. filed a Form 4 reporting a grant of employee stock options. On January 5, 2026, he received options to purchase 25,000 shares of Anixa Biosciences common stock at an exercise price of $3.18 per share under the company’s 2018 Share Incentive Plan.

The options vest and become exercisable in twelve equal monthly installments beginning January 31, 2026, and are scheduled to expire on January 5, 2036. Following this grant, Titterton directly holds 25,000 derivative securities (stock options) related to Anixa common stock.

Anixa Biosciences Inc executive Michael J. Catelani, who serves as President, COO and CFO, reported a new stock option grant. On January 5, 2026, he received an employee stock option giving him the right to buy 175,000 shares of Anixa common stock at an exercise price of $3.18 per share under the company’s 2018 Share Incentive Plan. The filing states that these options were granted at no cost to him as a derivative security and are held directly.

The options vest in thirty-six equal monthly installments beginning on January 31, 2026, meaning portions of the grant become exercisable each month over a three-year period. After this grant, Catelani beneficially owns 175,000 stock options, all reported as directly owned.

Anixa Biosciences director Arnold M. Baskies received a grant of employee stock options for 25,000 shares of common stock on January 5, 2026. The options have an exercise price of $3.18 per share and were granted as a Right-To-Buy under the Anixa Biosciences, Inc. 2018 Share Incentive Plan. They vest in twelve equal monthly installments beginning January 31, 2026 and expire on January 5, 2036. Following this award, Baskies holds 25,000 derivative securities directly in the form of these options, which had no purchase price at grant.

Anixa Biosciences Inc director Lewis H. Titterton, Jr. reported an insider stock transaction. On 12/15/2025, he exercised an employee stock option granted on 02/18/2016 with an exercise price of $2.92 per share, acquiring 16,000 shares of Anixa Biosciences common stock through a transaction coded "M" (option exercise).

Following this transaction, Titterton directly beneficially owned 969,334 shares of Anixa Biosciences common stock. The option covered 16,000 underlying shares, and after the exercise the number of derivative securities reported for this option position was 0.

Anixa Biosciences, Inc. reported that it and The Cleveland Clinic Foundation presented final data from a Phase 1 clinical trial of Anixa’s investigational breast cancer vaccine. The data were shared in a presentation by Justin Johnson, Ph.D., a program manager at Cleveland Clinic and co-inventor of the vaccine technology, and were followed by a company press release. The 8-K primarily alerts investors to the completion and public disclosure of this early-stage clinical trial dataset, with additional details contained in the attached press release and presentation exhibits.

Anixa Biosciences (ANIX) CEO Amit Kumar reported an insider option exercise. On 10/30/2025, he exercised 200,000 stock options at $2.92 per share (code M), adding common shares.

To cover the exercise price and tax withholding, 169,439 shares were withheld and reported as a disposition at $4.06 (code F). Following these transactions, Kumar beneficially owns 610,486 shares directly. The filing notes no open-market share sales in connection with this exercise.