# EDGAR Filing Document

**Accession Number:** 0000715446
**File Stem:** 0001493152-23-007172
**Filing Date:** 2023-3
**Character Count:** 7923
**Document Hash:** 8e28f50238c044f46c9fafc712416463
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-007172.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0001493152-23-007172

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 35

**CONFORMED PERIOD OF REPORT**: 20230309

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Anixa Biosciences Inc
- **CENTRAL INDEX KEY:** 0000715446
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 112622630
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37492
- **FILM NUMBER:** 23721666

**BUSINESS ADDRESS:**
- **STREET 1:** 3150 ALMADEN EXPRESSWAY, SUITE 250
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95118
- **BUSINESS PHONE:** 408-708-9808

**MAIL ADDRESS:**
- **STREET 1:** 3150 ALMADEN EXPRESSWAY, SUITE 250
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95118

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ITUS Corp
- **DATE OF NAME CHANGE:** 20140902

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** COPYTELE INC
- **DATE OF NAME CHANGE:** 19920703

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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): March 9, 2023

**<u>ANIXA BIOSCIENCES, INC.</u>**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-37492** | **11-2622630** |
| (State or other jurisdiction<br> of incorporation) | (Commission<br> File Number) | (IRS Employer<br> Identification No.) |

---

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| | |
|:---|:---|
| **3150 Almaden Expressway, Suite 250**<br> **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:

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| | | |
|:---|:---|:---|
| **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. ☐

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| | |
|:---|:---|
| **Item 5.07** | **Submission of Matters to a Vote of Security Holders.** |

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On March 9, 2023, Anixa Biosciences, Inc. (the "Company") completed its 2023 annual meeting of stockholders (the "Annual Meeting"). The number of shares of stock entitled to vote at the Annual Meeting was 30,922,830 shares of common stock (the "Voting Stock"). The number of shares of Voting Stock present or represented by valid proxy at the Annual Meeting was 20,969,858 shares. At the Annual Meeting, the Company's stockholders (i) re-elected Dr. Amit Kumar, Dr. Arnold Baskies, Emily Gottschalk, and Lewis H. Titterton, Jr. as directors, (ii) approved, on a non-binding, advisory basis, the Company's executive compensation, and (iii) ratified the appointment of Haskell & White LLP as the Company's independent registered public accounting firm for the fiscal year ending October 31, 2023. The following is a tabulation of the voting on the proposals presented at the Annual Meeting:

***Proposal No. 1 – Election of directors***

Dr. Amit Kumar, Dr. Arnold Baskies, Emily Gottschalk, and Lewis H. Titterton, Jr. were each re-elected to serve until the 2024 annual meeting of stockholders or until their successors are elected and qualified or until their earlier resignation or removal. The voting results were as follows:

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| | | | |
|:---|:---|:---|:---|
| **Nominee** | **Shares Voted For** | **Shares Withheld** | **Broker Non-Vote** |
| Dr. Amit Kumar | 10263393 | 940600 | 9765865 |
| Dr. Arnold Baskies | 10273898 | 930095 | 9765865 |
| Emily Gottschalk | 10055355 | 1148638 | 9765865 |
| Lewis H. Titterton, Jr. | 9825204 | 1378789 | 9765865 |

---

***Proposal No. 2 – Approval, by non-binding advisory vote, of the Company's executive compensation***

The Company's executive compensation, by non-binding advisory vote, was approved. The voting results were as follows:

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| | | | |
|:---|:---|:---|:---|
| **Votes For** | **Votes Against** | **Abstentions** | **Broker Non-Votes** |
| 9166107 | 1816322 | 221564 | 9765865 |

---

***Proposal No. 3 – Ratification of the appointment of independent registered public accounting firm***

The appointment of Haskell & White LLP as the Company's independent registered public accounting firm for the fiscal year ending October 31, 2023 was ratified. The voting results were as follows:

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| | | | |
|:---|:---|:---|:---|
| **Shares Voted For** | **Shares Voted Against** | **Shares Abstaining** | **Broker Non-Vote** |
| 20439779 | 61616 | 468463 |  |

---

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| | |
|:---|:---|
| **Item 7.01** | **Regulation FD Disclosure.** |

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Attached as Exhibit 99.1 to this Current Report is the form of presentation of the Company which was used by management at its Annual Meeting. This presentation may be used by the Company in the future at meetings with investors, analysts or others, in whole or in part and possibly with modifications from time to time.

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| | |
|:---|:---|
| **Item 9.01.** | **Financial Statements and Exhibits** |

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(d) Exhibits

The following exhibits are filed with this Current Report on Form 8-K:

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| | |
|:---|:---|
| Exhibit No. | Description |
| 99.1 | [Presentation](ex99-1.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |

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**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: March 10, 2023

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| | |
|:---|:---|
| ANIXA BIOSCIENCES, INC. | ANIXA BIOSCIENCES, INC. |
| By: | */s/ Michael J. Catelani* |
| Name: | Michael J. Catelani |
| Title: | President, Chief Operating Officer and |
|  | Chief Financial Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

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