SEC Form 4 · accession 0001415889-16-006924
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
Aug 17, 2016
Accepted (ET)
Aug 19, 2016 · 4:35 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 | Aug 17, 2016 | P$0 | 2,079 | — | A | 12,267 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A WarrantF1,F2 | $5.55 | Aug 17, 2016 | P | 2,079 | A | — | — | Common Stock | 2,079 | 2,079 | D |
| Class B WarrantF1,F2 | $6.29 | Aug 17, 2016 | P | 2,079 | A | — | — | Common Stock | 2,079 | 2,079 | D |
Explanation of responses
- F1Reporting Person paid $4.81 to purchase each share of Common Stock together with a Class A Warrant to purchase one share of Common Stock, and a Class B Warrant to purchase one share of Common Stock.
- F2Warrant is immediately exercisable and expires on the third anniversary of its issuance date