SEC Form 4 · accession 0001209191-15-032973
MABVAX THERAPEUTICS HOLDINGS, INC. · MBVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip O. Livingston
Officer — Chief Science Officer · Director
Period of report
Apr 4, 2015
Accepted (ET)
Apr 7, 2015 · 8:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001109196
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 4, 2015 | A | 1,000,000 | $0.00 | A | 1,307,396 | I | See Footnote |
| Common Stock | holding | — | — | — | 110,147 | D | ||
| Common StockF2 | holding | — | — | — | 12,734 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are directly held by RTP Venture Fund, LLC. Voting and dispositive decisions of RTP Venture Fund, LLC are made by Philip O. Livingston. Philip O. Livingston disclaims beneficial ownership as to the securities, except to the extent of his pecuniary interests therein.
- F2The shares are directly held by Joan L. Tweedy 2011 Revocable Trust. Philip O. Livingston is a trustee of the Joan L. Tweedy 2011 Revocable Trust. Philip O. Livingston disclaims beneficial ownership as to the securities, except to the extent of his pecuniary interests therein.