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Filing Details

Accession Number:: 0001415889-18-000062
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-01-16 06:00:27
Reporting Period:: 2018-01-08

Accepted Time:: 2018-01-16 06:00:27
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1109196	Mabvax Therapeutics Holdings Inc.	MBVX	Pharmaceutical Preparations (2834)	930987903

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1170363	W Paul Maffuid	C/O Mabvax Therapeutics Holdings, Inc. 11535 Sorrento Valley Rd., Suite 400 San Diego CA 92121	Executive Vice President	No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2018-01-08	406,382	$0.00	427,608	No	4	M	Direct
Common Stock	Disposition	2018-01-10	60,478	$0.96	367,130	No	4	S	Direct
Common Stock	Disposition	2018-01-11	35,166	$0.98	331,964	No	4	S	Direct
Common Stock	Disposition	2018-01-12	10,207	$0.96	321,757	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Unit	Disposition	2018-01-08	406,382	$0.00	406,382	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	M	Direct

Footnotes

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.