SEC Form 4 · accession 0001415889-16-005446
MABVAX THERAPEUTICS HOLDINGS, INC. · MBVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth M Cohen
Director
Period of report
Apr 4, 2016
Accepted (ET)
Apr 5, 2016 · 5:57 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 | 11,417 | $0.00 | A | 11,417 | D | |
| Common Stock | holding | — | — | — | 10,000 | I | By the Cohen-Salsitz Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F3 | — | Apr 4, 2016 | M | 11,417 | D | — | — | Common Stock | 11,417 | 22,833 | 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.
- F2Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer.
- F3Restricted 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.