SEC Form 4 · accession 0001415889-17-000597
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 2, 2017
Accepted (ET)
Apr 4, 2017 · 7:25 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 Stock | Apr 2, 2017 | M | 15,045 | $0.00 | A | 27,312 | 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 UnitF1,F2 | — | Apr 2, 2017 | M | 15,045 | D | — | — | Common Stock | 15,045 | 15,046 | D |
Explanation of responses
- F1Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer.
- F2Restricted 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.