SEC Info - Hoffman Robert - ‘3’ for 9/8/14 re: Mabvax Therapeutics Holdings, Inc.

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

HOFFMAN ROBERT

(Last)

(First)

(Middle)

11588 SORRENTO VALLEY ROAD, SUITE 20

(Street)

SAN DIEGO

92121

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
9/8/14

3. Issuer Name and Ticker or Trading Symbol
MABVAX THERAPEUTICS HOLDINGS, INC. [ TELK ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Options	⁽¹⁾	9/8/24	Common Stock	11,116 ⁽²⁾	8.48	D

Explanation of Responses:

(1) The Stock Options (defined below) were fully-vested and exercisable on the date of grant.

(2) Mr. Hoffman received options to purchase shares of MabVax Therapeutics Holdings, Inc. ("MabVax") common stock (the "Stock Options") pursuant to the MabVax Amended and Restated Non-Employee Director Compensation Policy in connection with his appointment as a member of the MabVax Board of Directors.

Remarks:

	/s/ Jeremy D. Glaser, Attorney-in-Fact for Robert E. Hoffman	9/12/14
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Hoffman Robert – ‘3’ for 9/8/14 re: Mabvax Therapeutics Holdings, Inc.

On: Friday, 9/12/14, at 4:36pm ET · For: 9/8/14 · As: Director · Accession #: 1209191-14-57721 · File #: 0-31265

Previous ‘3’: ‘3’ on 7/17/13 for 7/15/13 · Next: ‘3’ on 3/26/15 for 3/17/15 · Latest: ‘3’ on 2/7/24 for 1/24/24

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents

‘3’ — Form 3 Submission — doc3.xml/2.6