0001415889-18-000060.txt : 20180116 0001415889-18-000060.hdr.sgml : 20180115 20180116060022 ACCESSION NUMBER: 0001415889-18-000060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180108 FILED AS OF DATE: 20180116 DATE AS OF CHANGE: 20180116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HANSEN JOHN DAVID CENTRAL INDEX KEY: 0001186123 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37861 FILM NUMBER: 18527092 MAIL ADDRESS: STREET 1: MABVAX THERAPEUTICS HOLDINGS, INC. STREET 2: 11588 SORRENTO VALLEY ROAD, SUITE 20 CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MABVAX THERAPEUTICS HOLDINGS, INC. CENTRAL INDEX KEY: 0001109196 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 930987903 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11535 SORRENTO VALLEY ROAD STREET 2: SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8582599405 MAIL ADDRESS: STREET 1: 11535 SORRENTO VALLEY ROAD STREET 2: SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: TELIK INC DATE OF NAME CHANGE: 20000313 4 1 form4-01162018_060101.xml X0306 4 2018-01-08 0001109196 MABVAX THERAPEUTICS HOLDINGS, INC. MBVX 0001186123 HANSEN JOHN DAVID C/O MABVAX THERAPEUTICS HOLDINGS, INC. 11535 SORRENTO VALLEY RD., SUITE 400 SAN DIEGO CA 92121 true true false false PRESIDENT AND CEO Common Stock 2018-01-08 4 M 0 727210 0 A 788683 D Common Stock 2018-01-10 4 S 0 110093 .96 D 678590 D Common Stock 2018-01-11 4 S 0 64015 .98 D 614575 D Common Stock 2018-01-12 4 S 0 18582 .96 D 595993 D Restricted Stock Unit 2018-01-08 4 M 0 727210 D Common Stock 727210 0 D Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017. Represents a portion of the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II of the reporting person. This sale is mandated by the Issuer's election under the equity incentive plan to require satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.87 to $1.02 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.95 to $1.02 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.95 to $1.00 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer. Restricted 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. /s/ J. David Hansen 2018-01-12