SEC Form 4 · accession 0001415889-17-000846
MABVAX THERAPEUTICS HOLDINGS, INC. · MBVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul V Maier
Director
Period of report
May 19, 2017
Accepted (ET)
May 23, 2017 · 8:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001109196
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF1 | $1.80 | May 19, 2017 | A | 50,000 | A | — | May 19, 2027 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1The option is fully vested and exercisable and was issued pursuant to conditions of the Letter Agreement, dated May 15, 2017, by and between the Company and the lead investor in connection with the Company's public offering completed on May 19, 2017, and filed with the Securities and Exchange Commission on May 22, 2017 as Exhibit A of Exhibit 10.2 of the Company's Quarterly Report on Form 10-Q.