0001415889-17-000620.txt : 20170406 0001415889-17-000620.hdr.sgml : 20170406 20170406185822 ACCESSION NUMBER: 0001415889-17-000620 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170404 FILED AS OF DATE: 20170406 DATE AS OF CHANGE: 20170406 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MABVAX THERAPEUTICS HOLDINGS, INC. CENTRAL INDEX KEY: 0001109196 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 930987903 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11535 SORRENTO VALLEY ROAD STREET 2: SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8582599405 MAIL ADDRESS: STREET 1: 11535 SORRENTO VALLEY ROAD STREET 2: SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: TELIK INC DATE OF NAME CHANGE: 20000313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAFFUID PAUL W CENTRAL INDEX KEY: 0001170363 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37861 FILM NUMBER: 17747241 MAIL ADDRESS: STREET 1: MABVAX THERAPEUTICS HOLDINGS, INC. STREET 2: 11588 SORRENTO VALLEY ROAD, SUITE 20 CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 form4-04062017_030413.xml X0306 4 2017-04-04 0001109196 MABVAX THERAPEUTICS HOLDINGS, INC. MBVX 0001170363 MAFFUID PAUL W C/O MABVAX THERAPEUTICS HOLDINGS, INC. 11535 SORRENTO VALLEY RD., SUITE 400 SAN DIEGO CA 92121 false true false false EXECUTIVE VICE PRESIDENT Common Stock 2017-04-04 4 S 0 1000 2.25 D 26312 D Common Stock 2017-04-05 4 S 0 1800 2.1513 D 24512 D Common Stock 2017-04-06 4 S 0 867 2.1475 D 23645 D 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's Form 4, as filed with the Securities and Exchange Commission on April 4, 2017. 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.15 to $2.20 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.10 to $2.15 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. /s/ Jeremy D. Glaser, Attorney-in-Fact 2017-04-06 EX-24 2 ex24-04062017_030413.htm ex24-04062017_030413.htm


POWER OF ATTORNEY


Know all by these presents, that the undersigned hereby constitutes and appoints each of J. David Hansen, the President and Chief Executive Officer and Gregory P. Hanson, Chief Financial Officer of MabVax Therapeutics Holdings, Inc. (the "Company"), and Jeremy D. Glaser, Melanie D. Ruthrauff, Jenna M. Stewart, Patrick Elahmadie, Joan F. Raulston, Leandro Alcantara and Anne Leland of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., signing singly, with full power of substitution, the undersigned’s true and lawful attorney-in-fact to:


(1)

execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or 10% shareholder of the Company, forms and authentication documents for EDGAR Filing Access;


(2)

do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such forms and authentication documents;


(3)

execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or 10% shareholder of the Company, Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder;


(4)

do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and


(5)

take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interests of, or legally required by the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.


The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.


This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.


IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed this 5th day of April, 2017.



/s/ Paul W. Maffuid

Signature


Name:   Paul W. Maffuid