0001415889-18-000060.txt : 20180116
0001415889-18-000060.hdr.sgml : 20180115
20180116060022
ACCESSION NUMBER: 0001415889-18-000060
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180108
FILED AS OF DATE: 20180116
DATE AS OF CHANGE: 20180116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HANSEN JOHN DAVID
CENTRAL INDEX KEY: 0001186123
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37861
FILM NUMBER: 18527092
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
form4-01162018_060101.xml
X0306
4
2018-01-08
0001109196
MABVAX THERAPEUTICS HOLDINGS, INC.
MBVX
0001186123
HANSEN JOHN DAVID
C/O MABVAX THERAPEUTICS HOLDINGS, INC.
11535 SORRENTO VALLEY RD., SUITE 400
SAN DIEGO
CA
92121
true
true
false
false
PRESIDENT AND CEO
Common Stock
2018-01-08
4
M
0
727210
0
A
788683
D
Common Stock
2018-01-10
4
S
0
110093
.96
D
678590
D
Common Stock
2018-01-11
4
S
0
64015
.98
D
614575
D
Common Stock
2018-01-12
4
S
0
18582
.96
D
595993
D
Restricted Stock Unit
2018-01-08
4
M
0
727210
D
Common Stock
727210
0
D
Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017.
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.
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.
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.
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.
Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer.
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.
/s/ J. David Hansen
2018-01-12