0001415889-17-001295.txt : 20170802 0001415889-17-001295.hdr.sgml : 20170802 20170802060021 ACCESSION NUMBER: 0001415889-17-001295 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170519 FILED AS OF DATE: 20170802 DATE AS OF CHANGE: 20170802 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: 17998196 MAIL ADDRESS: STREET 1: MABVAX THERAPEUTICS HOLDINGS, INC. STREET 2: 11588 SORRENTO VALLEY ROAD, SUITE 20 CITY: SAN DIEGO STATE: CA ZIP: 92121 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 4 1 form4-08022017_030809.xml X0306 4 2017-05-19 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 2017-05-19 4 P 0 2857 1.75 A 24083 D Common Stock 2017-05-19 4 P 0 3228 A 27311 D Class A Warrant 5.55 2017-05-19 4 S 0 2079 D Common Stock 2079 0 D Class B Warrant 6.29 2017-05-19 4 S 0 2079 D Common Stock 2079 0 D 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 2,079 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 2,079 shares of the Company's common stock at a price per share of $6.29 issued to the Reporting Person on August 17, 2016. Warrant is immediately exercisable and expires on August 17, 2019. These warrants were cancelled and exchanged for the right to receive 3,228 shares of common stock of the Company. /s/ Jeremy D. Glaser , Attorney-in-Fact 2017-08-02