SEC Form 4 · accession 0001415889-16-005443
MABVAX THERAPEUTICS HOLDINGS, INC. · MBVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul W Maffuid
Officer — EXECUTIVE VICE PRESIDENT
Period of report
Apr 4, 2016
Accepted (ET)
Apr 5, 2016 · 5:55 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, 2016 | M | 111,334 | $0.00 | A | 116,334 | D | |
| Common StockF2 | Apr 4, 2016 | F | 40,944 | $0.00 | D | 75,390 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F4 | — | Apr 4, 2016 | M | 111,334 | D | — | — | Common Stock | 111,334 | 222,666 | D |
Explanation of responses
- F1Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015.
- F2Represents withholding by the Issuer of shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the above conversion of restricted stock units into common stock.
- F3Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer.
- F4Restricted Stock Units vest over 3 years from April 2, 2015, 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.