SEC Form 4 · accession 0001415889-17-001297
MABVAX THERAPEUTICS HOLDINGS, INC. · MBVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John David Hansen
Officer — PRESIDENT AND CEO · Director
Period of report
May 19, 2017
Accepted (ET)
Aug 2, 2017 · 6:02 am 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 | May 19, 2017 | P | 4,286 | $1.75 | A | 65,759 | D | |
| Common StockF1 | May 19, 2017 | P$0 | 4,842 | — | A | 70,601 | 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 WarrantF3,F2 | $5.55 | May 19, 2017 | S | 3,119 | D | — | — | Common Stock | 3,119 | 0 | D |
| Class B WarrantF3,F2 | $6.29 | May 19, 2017 | S | 3,119 | D | — | — | Common Stock | 3,119 | 0 | D |
Explanation of responses
- F1These shares were received in exchange for making an investment under the terms of the Company's May 2017 public offering equal to 50% of investment made in the Company's August 2016 public offering, and for the cancellation of (i) warrants to purchase 3,119 shares of the Company's common stock at a price per share of $5.55 issued to the Reporting Person on August 17, 2016 and (ii) warrants to purchase 3,119 shares of the Company's common stock at a price per share of $6.29 issued to the Reporting Person on August 17, 2016.
- F2Warrant is immediately exercisable and expires on August 17, 2019.
- F3These warrants were cancelled and exchanged for the right to receive 4,842 shares of common stock of the Company.