SEC Form 4 · accession 0001209191-15-032494
MABVAX THERAPEUTICS HOLDINGS, INC. · MBVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul W Maffuid
Officer — Vice President
Period of report
Apr 2, 2015
Accepted (ET)
Apr 3, 2015 · 7:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001109196
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Buy Common StockF1 | $2.30 | Apr 2, 2015 | A | 334,000 | A | — | Apr 2, 2025 | Common Stock | 334,000 | 334,000 | D |
| Restricted Stock UnitF2,F3 | — | Apr 2, 2015 | A | 334,000 | A | — | — | Common Stock | 334,000 | 334,000 | D |
Explanation of responses
- F1Option vests and becomes exercisable over 3 years from the date of grant, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date.
- F2Each restricted stock unit is the economic equivalent of one share of common stock of the Company.
- F3Restricted Stock Units vest over 3 years from the date of grant, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date.