0001415889-18-000116.txt : 20180124 0001415889-18-000116.hdr.sgml : 20180124 20180124190904 ACCESSION NUMBER: 0001415889-18-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180123 FILED AS OF DATE: 20180124 DATE AS OF CHANGE: 20180124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAIER PAUL V CENTRAL INDEX KEY: 0001182615 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37861 FILM NUMBER: 18546361 MAIL ADDRESS: STREET 1: 3595 JOHN HOPKINS COURT 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 form4-01242018_040150.xml X0306 4 2018-01-23 0001109196 MABVAX THERAPEUTICS HOLDINGS, INC. MBVX 0001182615 MAIER PAUL V C/O MABVAX THERAPEUTICS HOLDINGS, INC. 11535 SORRENTO VALLEY RD., SUITE 400 SAN DIEGO CA 92121 true false false false Common Stock 2018-01-23 4 S 0 17449 0.87 D 86313 D Common Stock 2018-01-24 4 S 0 17999 0.84 D 68314 D Represents a portion of the number of shares required to be sold by the reporting person to cover estimated tax obligations in connection with the vesting of the RSUs of the reporting person. This sale is mandated by the Issuer's election, as approved by the Board of Directors, under the equity incentive plan to require satisfaction of estimated tax 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 $0.85 to $0.89 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 $0.82 to $0.86 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/ Paul Maier 2018-01-24