Filing Details

Accession Number:
0001415889-17-001296
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-08-02 06:01:30
Reporting Period:
2017-05-19
Filing Date:
2017-08-02
Accepted Time:
2017-08-02 06:01:30
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1109196 Mabvax Therapeutics Holdings Inc. MBVX Pharmaceutical Preparations (2834) 930987903
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1186120 P Gregory Hanson C/O Mabvax Therapeutics Holdings, Inc.
11535 Sorrento Valley Rd., Suite 400
San Diego CA 92121
Chief Financial Officer, Secr No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-05-19 4,286 $1.75 33,492 No 4 P Direct
Common Stock Acquisiton 2017-05-19 4,842 $0.00 38,334 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Class A Warrant Disposition 2017-05-19 3,119 $0.00 3,119 $5.55
Common Stock Class B Warrant Disposition 2017-05-19 3,119 $0.00 3,119 $6.29
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 S Direct
0 No 4 S Direct
Footnotes
  1. These shares were received in exchange for making an investment under the terms of the Company's May 2017 public offering equal to 50% of investment made in the Company's August 2016 public offering, and for the cancellation of (i) warrants to purchase 3,119 shares of the Company's common stock at a price per share of $5.55 issued to the Reporting Person on August 17, 2016 and (ii) warrants to purchase 3,119 shares of the Company's common stock at a price per share of $6.29 issued to the Reporting Person on August 17, 2016.
  2. Warrant is immediately exercisable and expires on August 17, 2019.
  3. These warrants were cancelled and exchanged for the right to receive 4,842 shares of common stock of the Company.