0001415889-17-001501.txt : 20170918 0001415889-17-001501.hdr.sgml : 20170918 20170918172021 ACCESSION NUMBER: 0001415889-17-001501 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170915 FILED AS OF DATE: 20170918 DATE AS OF CHANGE: 20170918 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: 171090503 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 form4-09182017_050911.xml X0306 4 2017-09-15 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 Restricted Stock Unit 2017-09-15 4 A 0 98383 A Common Stock 98383 98383 D Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. /s/ Paul Maffuid 2017-09-18