-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BvrLeanGKoCtVY87CwEsvpLCu/cnyU9I4zqRv9bdmvV5f0ynv7gDJfv/gSRnDrCE aiw0M87O7lSY4yk55xIBMA== 0000909450-07-000007.txt : 20070112 0000909450-07-000007.hdr.sgml : 20070112 20070112165851 ACCESSION NUMBER: 0000909450-07-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070110 FILED AS OF DATE: 20070112 DATE AS OF CHANGE: 20070112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VAXGEN INC CENTRAL INDEX KEY: 0001036968 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943236309 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1000 MARINA BLVD STREET 2: STE 200 CITY: BRISBANE STATE: CA ZIP: 94005 BUSINESS PHONE: 6506241000 MAIL ADDRESS: STREET 1: 1000 MARINA BLVD STREET 2: STE 200 CITY: BRISBANE STATE: CA ZIP: 94005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26483 FILM NUMBER: 07529299 BUSINESS ADDRESS: STREET 1: 50 OSGOOD PLACE PENTHOUSE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4159811039 MAIL ADDRESS: STREET 1: 50 OSGOOD PLACE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER NAME: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19951108 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2007-01-10 0 0001036968 VAXGEN INC VXGN 0000909450 GRUBER & MCBAINE CAPITAL MANAGEMENT LLC 50 OSGOOD PLACE SAN FRANCISCO CA 94133 0 0 1 0 Common Stock 2007-01-10 4 P 0 1000 2.39 A 322700 D Common Stock 2007-01-11 4 P 0 6000 2.52 A 328700 D Common Stock 2007-01-10 4 P 0 500 2.39 A 389169 D Common Stock 2007-01-11 4 P 0 6000 2.52 A 395169 D Common Stock 2007-01-10 4 P 0 8000 2.39 A 2196650 I By Limited Partnership and Investment Advisory Accounts Common Stock 2007-01-11 4 P 0 36000 2.52 A 2232650 I By Limited Partnership and Investment Advisory Accounts This form is filed by Gruber & McBaine Capital Management, LLC (GMCM), a limited liability company that is an investment adviser for client accounts and a general partner of investment limited partnerships; Jon D. Gruber (Gruber) and J. Patterson McBaine (McBaine), who are managers,members and portfolio managers of GMCM; Eric B Swergold (Swergold) who is a member and portfolio manager of GMCM who is a member and portfolio advisor of GMCM. By Gruber. By McBaine. This total is the number of shares beneficially owned after the transactions reported in accounts and investment partnerships in which the reporting persons have some pecuniary interest; the total excludes shares held in other client accounts managed by GMCM in which the reporting persons have no pecuniary interest. By GMCM, as an investment adviser for client accounts and a general partner of investment partnerships,and by Gruber and McBaine as managers, members and portfolio managers of GMCM, and by Swergold as a member and portfolio manager of GMCM. GMCM, Gruber, McBaine, and Swergold have pecuniary interest in those client accounts and partnerships that in the aggregate represent less than the total number of shares shown in Items 4 and 5. Each such reporting person disclaims beneficial ownership of the securities with respect to which indirect beneficial ownership is reported, except to the extent of that reporting persons pro rata pecuniary interest therein. GRUBER & MCBAINE CAPITAL MANAGEMENT,LLC By: /s/ J. Patterson McBaine, J.Patterson McBaine, Manager 2007-01-12 /s/ Jon D. Gruber 2007-01-12 -----END PRIVACY-ENHANCED MESSAGE-----