Filing Details

Accession Number:
0001415889-18-000060
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-16 06:00:22
Reporting Period:
2018-01-08
Accepted Time:
2018-01-16 06:00:22
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
1186123 David John Hansen C/O Mabvax Therapeutics Holdings, Inc.
11535 Sorrento Valley Rd., Suite 400
San Diego CA 92121
President And Ceo 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 2018-01-08 727,210 $0.00 788,683 No 4 M Direct
Common Stock Disposition 2018-01-10 110,093 $0.96 678,590 No 4 S Direct
Common Stock Disposition 2018-01-11 64,015 $0.98 614,575 No 4 S Direct
Common Stock Disposition 2018-01-12 18,582 $0.96 595,993 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Unit Disposition 2018-01-08 727,210 $0.00 727,210 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
Footnotes
  1. Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017.
  2. Represents a portion of the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II of the reporting person. This sale is mandated by the Issuer's election under the equity incentive plan to require satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
  3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.87 to $1.02 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.95 to $1.02 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  5. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.95 to $1.00 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  6. Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer.
  7. Restricted Stock Units vested on January 8, 2018, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date.