Filing Details
- Accession Number:
- 0001654954-17-000710
- Form Type:
- 13G Filing
- Publication Date:
- 2017-02-02 16:21:15
- Filed By:
- Brauser Michael
- Company:
- Mabvax Therapeutics Holdings Inc. (OTCMKTS:MBVX)
- Filing Date:
- 2017-02-02
- SEC Url:
- 13G Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Michael Brauser | 89,032 | 253,582 | 89,032 | 253,582 | 342,614 | 5.44% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
| MABVAX
THERAPEUTICS HOLDINGS, INC. |
| (Name
of Issuer) |
| COMMON
STOCK, PAR VALUE $0.01 |
| (Title
of Class of Securities) |
| 55414P504 |
| (CUSIP
Number) |
| January
24, 2017 |
| (Date
of Event which Requires Filing of this Statement) |
Check
the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[_]
Rule 13d-1(b)
[X]
Rule 13d-1(c)
[_]
Rule 13d-1(d)
*
The
remainder of this cover page shall be filled out for a reporting
person’s initial filing on this form with respect to the
subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided
in a prior cover page.
The
information required in the remainder of this cover page shall not
be deemed to be “filed” for the purpose of Section 18
of the Securities Exchange Act of 1934 (“Act”) or
otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see
the Notes).
SCHEDULE
13G
|
CUSIP No. 55414P504 |
| 1 | Names of Reporting
Persons Michael
Brauser | |||
| 2 | Check the
appropriate box if a member of a Group (see
instructions) (a) [ ] (b) [ ] | |||
|
3 |
Sec Use Only | |||
|
4 |
Citizenship or Place of Organization Florida | |||
| Number of Shares
Beneficially Owned by Each Reporting Person
With: |
5 | Sole Voting
Power 89,032 | ||
| 6 | Shared Voting
Power 253,582
(1)(2) | |||
| 7 | Sole Dispositive
Power 89,032 | |||
| 8 | Shared Dispositive
Power 253,582
(1)(2) | |||
| 9 | Aggregate Amount
Beneficially Owned by Each Reporting Person 342,614
(1)(2) | |||
| 10 | Check box if the
aggregate amount in row (9) excludes certain shares (See
Instructions) | |||
| 11 | Percent of class
represented by amount in row (9) 5.44%
(Based on 6,296,110 shares outstanding as of the Issuers Form 10-Q
filed on November 7,2016) | |||
| 12 | Type of Reporting
Person (See Instructions) IN | | ||
(1)
Includes 5,000
shares of common stock held by Michael & Betsy Brauser Tenants
by Entirety (“MBTBE”) and 248,582 shares of common
stock held by Grander Holdings, Inc. 401K of which the reporting
person is a trustee (“Grander 401K”).
(2)
Excludes 513,514
shares of common stock underlying Series D Convertible Preferred
Stock held by Brauser which contains a 4.99% beneficial ownership
blocker; (ii) 207,900 shares
of common stock underlying Series F Convertible Preferred Stock
held by Grander 401K which contains a 4.99% beneficial ownership
blocker and (iii) 415,800
shares of common stock underlying warrants held by Grander 401K
which contain a 4.99% beneficial ownership
blocker.
Item
1.
(a)
Name of Issuer:
Mabvax
Therapeutics Holdings, Inc. ("Issuer")
(b)
Address of Issuer's Principal Executive
Offices:
11535 Sorrento
Valley Road Suite 400
San
Diego, CA 92121
Item
2.
(a) Name of Person
Filing:
The
statement is filed on behalf of Michael Brauser, Michael and Betsy
Brauser Tenants by Entirety and Grander Holdings, Inc. 401K,
(collectively, the "Reporting Person").
(b)
Address of Principal Business Office or,
if None, Residence:
4400
Biscayne Blvd #850, Miami, FL 33137
(c)
Citizenship:
Michael
Brauser is a citizen of the United States. MBTBE and Grander 40 I K
are incorporated in the State of Florida.
(d)
Title and Class of
Securities:
Common
Stock, par value $0.01
(e)
CUSIP No.:
55414P504
Item 3.
If this statement is filed pursuant to §§
240.13d-l(b) or 240.13d-2(b) or (c), check whether the
person filing is a:
Not
Applicable.
Item
4. Ownership
(a)
Amount Beneficially Owned: 342,614
(1
)(2)
(b)
Percent of Class: 5.44% (Based on 6,296,110 shares outstanding as of November 7,
2016)
(c)
Number of shares as to which such person
has:
(i)
Sole power to vote or to direct the vote:
89,032
(ii)
Shared power to vote or to direct the vote:
253,582
(1)(2)
(iii)
Sole power to dispose or to direct the
disposition of: 89,032
(iv)
Shared power to
dispose or to direct the disposition of: 253,582
(1)(2)
(1).
Includes 5,000 shares of common stock held by Michael & Betsy
Brauser Tenants by Entirety ("MBTBE") and 248,582 shares of common
stock held by Grander Holdings, Inc. 401K of which the reporting
person is a trustee ("Grander 401K").
(2).
Excludes 513,514 shares of common stock underlying Series D
Convertible Preferred Stock held by Brauser which contains a 4.99%
beneficial ownership blocker; (ii) 207,900 shares of common stock
underlying Series F Convertible Preferred Stock held by Grander
401K which contains a 4.99% beneficial ownership blocker and
(iii) 415,800 shares of common
stock underlying warrants held by Grander 401K which contain a
4.99% beneficial ownership blocker.
Item 5.
Ownership of Five Percent or Less of a Class.
Not Applicable.
Item 6. Ownership of more
than Five Percent on Behalf of Another Person.
Not Applicable.
Item 7. Identification and
classification of the subsidiary which acquired the security being
reported on by the parent holding company or control
person.
Not
Applicable.
Item 8.
Identification and classification of members of the
group.
Not
Applicable.
Item 9. Notice of Dissolution
of Group.
Not Applicable.
Item 10.
Certifications.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a
participant in any transaction having that purpose or
effect.
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true,
complete and correct.
| Dated:
February 2, 2017 | | By:
/s/ Michael
Brauser |
| | |
Michael Brauser |
| | | |
| Dated: February 2,
2017 | | Grander Holdings,
Inc. 401K By:
/s/ Michael
Brauser
Michael Brauser,
Trustee |