SEC Form 4 · accession 0001415889-18-000058
MABVAX THERAPEUTICS HOLDINGS, INC. · MBVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas C Varvaro
Director
Period of report
Jan 8, 2018
Accepted (ET)
Jan 12, 2018 · 5:26 pm EST
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 | Jan 8, 2018 | M | 100,000 | $0.00 | A | 100,000 | 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 UnitF2,F3 | — | Jan 8, 2018 | M | 100,000 | D | — | — | Common Stock | 100,000 | 1,543 | D |
Explanation of responses
- F1Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017.
- F2Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer.
- F3Restricted Stock Units vested on January 8, 2018, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date.