Attached files
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| EX-99.1 - PRESS RELEASE - MABVAX THERAPEUTICS HOLDINGS, INC. | ex99-1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of
report (Date of earliest event reported): May 19, 2017
Commission
File Number: 000-31265
MabVax Therapeutics Holdings, Inc.
(Exact
name of registrant as specified in its charter.)
Delaware
(State
or other jurisdiction of incorporation or
organization)
93-0987903
(IRS
Employer Identification No.)
11535 Sorrento Valley Rd., Suite 400, San Diego, California
92121
(Address
of principal executive offices)
858-259-9405
(Registrant's
Telephone number)
Not Applicable
(Former
Name or Former Address, if Changed Since Last Report)
Check
the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2.
below):
[ ]
Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
[ ]
Soliciting material pursuant to Rule 14a-12 under the Exchange Act
(17 CFR 240.14a-12)
[ ]
Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b))
[ ]
Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c))
Indicate
by check mark whether the registrant is an emerging growth company
as defined in as defined in Rule 405 of the Securities Act of
1933
(§230.405 of
this chapter) or Rule 12b2 of the Securities Exchange Act of 1934
(§240.12b2 of this chapter).
Emerging growth
company [X]
If an
emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange Act. [
]
Item 1.01 Entry into a Material Definitive Agreement.
As
previously disclosed, on May 15, 2017, MabVax Therapeutics
Holdings, Inc. (the "Company") entered into an Underwriting
Agreement (the "Underwriting Agreement") with Laidlaw & Company
(UK) Ltd. ("Laidlaw"), as underwriter (the "Underwriter"), pursuant
to which, among other things, the Company agreed to issue and sell
to the Underwriter, and the Underwriter agreed to purchase from the
Company, in an underwritten public offering (the "Offering"), an
aggregate of 1,342,858 shares of the Company's common stock (the
"Common Stock"), and an aggregate 1,000,000 shares of Series G
Convertible Preferred Stock (the "Series G Preferred Stock"), at a
public offering price of $1.75 per share of Common Stock and Series
G Preferred Stock. Delaney Equity Group LLC acted as selling group
member for the offering.
The
Underwriting Agreement included an over-allotment option granted by
the Company to the Underwriters to purchase 201,428 additional
shares of Common Stock on the same terms outlined above. The total
Offering amount was $4.1 million in gross proceeds before the
Underwriter's discount and expenses.
Item 8.01 Other Events.
On May
22, 2017, the Company issued a press release announcing the closing
of the offering as described above in Item 1.01, which is
incorporated herein by reference. A copy of the press release is
attached hereto as Exhibit 99.1.
Item 9.01 Financial Statements and Exhibits.
(d)
Exhibits
No. and Description
99.1
Press Release by the Company dated May 22, 2017
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
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Date:
May 22, 2017
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MabVax
Therapeutics Holdings, Inc.
By:
/s/ Gregory P. Hanson
Name: Gregory P.
Hanson
Title: Chief
Financial Officer
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Exhibit Index
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Exhibit No.
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Description
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EX-99.1
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Press
Release of the Company on May 22, 2017
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