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    Anixa Biosciences Inc. filed SEC Form 8-K: Regulation FD Disclosure, Financial Statements and Exhibits

    11/8/24 1:31:46 PM ET
    $ANIX
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Get the next $ANIX alert in real time by email
    false 0000715446 0000715446 2024-11-08 2024-11-08 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

     

     

     

    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): November 8, 2024

     

    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 November 8, 2024, Anixa Biosciences, Inc. (“we,” “us,” “our,” or the “Company”) issued a press release announcing that the Company and The Cleveland Clinic Foundation (“Cleveland Clinic”) presented new, updated positive data for the Phase 1 study of its breast cancer vaccine. The press release, which is furnished as Exhibit 99.1 hereto, was issued following a presentation made by Dr. Emily Rhoades, FDA/IND Trial Program Manager at Cleveland Clinic. Furnished hereto as Exhibit 99.2 is the poster utilized by Dr. Rhoades for the presentation.

     

    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: November 8, 2024

     

      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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