Michael Catelani Files SC 13D for Anixa Biosciences

TL;DR

**CATELANI FILES 13D ON ANIXA BIOSCIENCES (ANIX)**

AI Summary

Michael Catelani filed an SC 13D on May 3, 2024, regarding Anixa Biosciences Inc. The filing indicates a change in beneficial ownership as of April 30, 2024. Catelani is listed as the filer, with his address associated with Anixa Biosciences' San Jose, California office.

Why It Matters

This filing signals a potential shift in control or significant stake-building by Michael Catelani in Anixa Biosciences, which could influence the company's strategic direction.

Risk Assessment

Risk Level: medium — SC 13D filings often indicate significant stake-building or changes in control, which can lead to increased volatility and strategic shifts for the company.

Key Players & Entities

• Michael Catelani (person) — Filer of the SC 13D
• Anixa Biosciences Inc. (company) — Subject company of the SC 13D filing
• 03528H109 (other) — CUSIP number for Anixa Biosciences Inc. common stock

FAQ

Key Financial Figures

• $0.01 — INC. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class o
• $2.52 — from his personal funds, at a price of $2.52 per share, pursuant to the Issuer&rsquo

Filing Documents

• formsc13d.htm (SC 13D) — 59KB
• 0001493152-24-017664.txt ( ) — 60KB

From the Filing

SC 13D 1 formsc13d.htm UNITED SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. __)* ANIXA BIOSCIENCES, INC. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 03528H109 (CUSIP Number) Michael Catelani c/o Anixa Biosciences, Inc. 3150 Almaden Expressway, Suite 250 San Jose, CA 95118 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 30, 2024 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. Note : Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 1 Names of Reporting Person Michael Catelani 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) 3 SEC Use Only 4 Source of Funds (See Instructions) PF 5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) 6 Citizenship or Place of Organization United States of America Number of Shares Beneficially Owned by Each Reporting Person With: 7 Sole Voting Power 1,764,891 (1) 8 Shared Voting Power 0 9 Sole Dispositive Power 1,764,891 (1) 10 Shared Dispositive Power 0 11 Aggregate Amount Beneficially Owned by Each Reporting Person 1,764,891 (1) 12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) 13 Percent of Class Represented by Amount in Row (11) 5.25% (2) 14 Type of Reporting Person (See Instructions) IN (1) Includes options to purchase 1,735,930 shares of the Issuer’s Common Stock exercisable within 60 days of April 30, 2024. (2) Based on a total of 31,899,800 shares of the Issuer’s Common Stock outstanding as of March 12, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q, filed with the SEC on March 12, 2024. Item 1. Security and Issuer. This Stock”), of Anixa Biosciences, Inc., a Delaware corporation (the “Issuer”). The address of the Issuer’s principal executive office is 3150 Almaden Expressway, Suite 250, San Jose, CA 95118. Item 2. Identity and Background. (a) This Schedule 13D is being filed by Michael Catelani (the “Reporting Person”). (b) The principal business address of the Reporting Person is Anixa Biosciences, Inc., 3150 Almaden Expressway, Suite 250, San Jose, CA 95118. (c) The Reporting Person’s principal occupation is President, Chief Operating Officer and Chief Financial Officer of the Issuer. (d) During the last five years, the Reporting Person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) During the last five years, the Reporting Person has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) The Reporting Person is a citizen of the United States of America. Item 3. Source and Amount of Funds or Other Consideration. On April 30, 2024, the Reporting Person purchased 1,189 shares of the Issuer’s Common Stock from his personal funds, at a price of $2.52 per share, pursuant to the Issuer’s Employee Stock Purchase Plan. Item 4. Purpose of Transaction. The Reporting Person purchased the Common Stock for investment purposes. While the Reporting Person does not have any current plans or proposals that would result in any of the items described in (a) through (j) below, the Reporting Person is filing this Schedule 13D because he is the President, Chief Operating Officer and Chief Financial Officer of the Issuer. Other than as may be disclosed on a Schedule 13D in the future, the Reporting Per

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