What changed in this filing

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Item 5. Market for Registrant’s Common Equity

2024-01-16 compared with 2023-01-04 · 40 added, 9 removed, 6 unchanged (89% of the section changed)

Market for the Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities.

Market for the Registrant’s

Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities.

common stock trades on the NASDAQ Capital Market under the symbol “ANIX”.

of January 3, 2023, the approximate number of record holders of our common stock was 314 and the closing price of our common stock

was $4.19 per share.

of January 12, 2024, the approximate number of record holders of our common stock was 312 and the closing price of our common

stock was $4.39 per share.

Authorized for Issuance Under Equity Compensation Plans

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.”

following is information as of October 31, 2023 about shares of our common stock that may be issued upon the exercise of options, warrants

and rights under all equity compensation plans in effect as of that date, including our 2010 Share Incentive Plan and our 2018 Share

Incentive Plan.

See Note 4 to our Consolidated Financial Statements for more information on these plans.

Plan category

of securities to be issued upon exercise of outstanding options, warrants and rights

average exercise price of outstanding options, warrants and rights

of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a))

Equity compensation plans not approved

by security holders (1)

Equity compensation plans approved by security

July 14, 2010, the Board adopted the 2010 Share Incentive Plan.

Officers, key employees and non-employee directors of, and consultants

to, the Company or any of its subsidiaries and affiliates were eligible to participate in the 2010 Share Incentive Plan.

Share Incentive Plan provided for the grant of stock options, stock appreciation rights, stock awards, and performance awards and

The 2010 Share Incentive Plan terminated with respect to additional grants on July 14, 2020.

2018 Share Incentive Plan was adopted by the Board on January 25, 2018 and approved by our shareholders on March 29, 2018.

key employees and non-employee directors of, and consultants to, the Company or any of its subsidiaries and affiliates are eligible

to participate in the 2018 Share Incentive Plan.

The 2018 Share Incentive Plan provides for the grant of incentive stock options,

nonqualified stock options, stock appreciation rights, stock awards, performance awards and stock units (the “2018 Benefits”).

The maximum number of shares of common stock available for issuance under the 2018 Share Incentive Plan was initially 5,000,000 shares.

Additionally, commencing on the first business day in January 2019 and on the first business day of each calendar year thereafter,

the maximum aggregate number of shares available for issuance shall be replenished such that, as of such first business day, the

maximum aggregate number of shares available for issuance shall be 2,000,000 shares.

The 2018 Share Incentive Plan is administered

by the Compensation Committee, which determines the option price, term and provisions of the 2018 Benefits.

The 2018 Share Incentive

Plan terminates with respect to additional grants on March 28, 2028.

The Board may amend, suspend or terminate the 2018 Share Incentive

Plan at any time, subject in certain respects to obtaining shareholder approval.

cash dividends have been paid on our common stock since our inception.

2 unchanged sentences

Sales of Unregistered Securities

the three months ended October 31, 2022, the Company issued an aggregate of 7,986 unregistered shares of our common stock to a

company in payment of investor relations services.

The common stock was issued in reliance on an exemption from registration under

Section 4(a)(2) of the Securities Act as they were issued in a private transaction to investors, without a view to distribution, and

were not issued through any general solicitation or advertisement.

the three months ended October 31, 2023, the Company issued an aggregate of 6,756 unregistered shares of our common stock to a company

in payment of investor relations services.

The common stock was issued in reliance on an exemption from registration under Section 4(a)(2)

of the Securities Act as they were issued in a private transaction to investors, without a view to distribution, and were not issued

through any general solicitation or advertisement.

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 5. Market for Registrant’s Common Equity