UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form 10-K/A

 

 

Amendment No. 1

 

x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the Fiscal Year Ended December 31, 2014

OR

 

¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the Transition period from                      to                     .

Commission file number: 0-31265

 

 

MABVAX THERAPEUTICS HOLDINGS, INC.

(Exact name of Registrant as specified in its charter)

 

 

 

Delaware   93-0987903

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

11588 Sorrento Valley Rd., Suite 20, San Diego, CA   92121
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (858) 259-9405

Securities registered pursuant to Section 12(b) of the Act: None

 

Title of Each Class

 

Name of Each Exchange on Which Registered

None  

Securities registered pursuant to Section 12(g) of the Act:

Common Stock, $0.01 par value per share

 

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    YES  ¨  NO  x

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.    YES  ¨    NO  x

Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports) and (2) has been subject to such filing requirements for the past 90 days.    YES  x    NO  ¨

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    YES  x    NO  ¨

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this Chapter) is not contained herein, and will not be contained to the best of Registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.  ¨

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer   ¨    Accelerated filer   ¨
Non-accelerated filer   ¨    Smaller reporting company   x

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act.).    YES  ¨    NO  x

The aggregate market value of the voting common stock held by non-affiliates of the Registrant was approximately $6,627,000 as of June 30, 2014, based upon the closing sale price on the OTCQB Market of $11.60 per share reported on such date.

As of March 31, 2015, there were 9,615,035 shares of the registrant’s common stock outstanding.

DOCUMENTS INCORPORATED BY REFERENCE

Certain information required by Part III Of this Annual Report on Form 10-K is incorporated by reference from the registrant’s definitive proxy statement for the annual meeting of stockholders, which will be filed with the Securities and exchange Commission within 120 days after the close of the registrant’s fiscal year ended December 31, 2014.

 

 

 


EXPLANATORY NOTE

The Company is filing this Amendment No. 1 to its Annual Report on Form 10-K for the year ended December 31, 2014 (the “Form 10-K”), which was originally filed with the Securities and Exchange Commission on March 31, 2015, for the sole purpose of furnishing the Interactive Data File as Exhibit 101 in accordance with Rule 405 of Regulation S-T.

No other changes have been made to the Form 10-K. This Amendment does not reflect events that have occurred after the March 31, 2015 filing date of the Form 10-K, or modify or update the disclosures presented therein, except to reflect the amendment described above.

PART IV

 

Item  15. Exhibits and Financial Statement Schedules.

 

Exhibit
No.

  

Description

  

Form

  

Filing

Date/Period
End

  

Exhibit
Number

    2.1    Agreement and Plan of Merger and Reorganization, dated May 12, 2014, between the Company, Tacoma Acquisition Corp., Inc. and MabVax Therapeutics, Inc.    8-K    5/12/2014      2.1
    2.2    Amendment No.1, dated as of June 30, 2014, by and between the Company and MabVax Therapeutics, Inc.    8-K    7/1/2014      2.1
    2.3    Amendment No.2 to the Agreement and Plan of Merger, dated July 7, 2014, by and among the Company, Tacoma Acquisition Corp. and MabVax Therapeutics, Inc.    8-K    7/9/2014      2.1
    3.1    Certificate of Designations, Preferences and Rights of Series A-1 Convertible Preferred Stock    8-K    7/9/2014      3.1
    3.2    Amended and Restated Certificate of Designations, Preferences and Rights of Series B Convertible Preferred Stock    8-K    7/9/2014      3.2
    3.3    Certificate of Designations, Preferences and Rights of Series C Convertible Preferred Stock    8-K    9/3/2014      3.1
    3.4    Amended and Restated Certificate of Incorporation    8-K    9/9/2014      3.1
    3.5    Certificate of Amendment of Amended and Restated Certificate of Incorporation    8-K    9/9/2014      3.2
    3.6    Amended and Restated Bylaws    8-K    12/14/2007      3.2
    3.7    Certificate of Designations, Preferences and Rights of Series D Convertible Preferred Stock    8-K    3/26/2015      3.1
    3.8*    Certificate of Designations, Preferences and Rights of Series E Convertible Preferred Stock         
    4.1    Securities Purchase Agreement, dated May 12, 2014, between the Company and the investors identified on the Schedule of Buyers therein and the Form of Registration Rights Agreement, attached thereto as Exhibit C    8-K    5/12/2014    10.1
    4.2    Securities Purchase Agreement, dated as of February 12, 2014, between MabVax Therapeutics, Inc. and the purchasers set forth on the signature pages thereto including that certain Amendment No. 1 to Securities Purchase Agreement, dated as of May 12, 2014, between MabVax Therapeutics, Inc. and the persons and entities identified on the signature pages thereto    8-K    5/12/2014    10.3
    4.3    Registration Rights Agreement, dated as of February 12, 2014, between MabVax Therapeutics, Inc. and the persons and entities identified on the signature pages thereto    8-K    5/12/2014    10.2
    4.4    Omnibus Amendment and Stockholder Consent, dated July 7, 2014, by and among the Company and the Purchasers    8-K    7/9/2014    10.1

 

2


Exhibit
No.

  

Description

  

Form

  

Filing

Date/Period
End

  

Exhibit
Number

    4.5    Form of Parent Common Stock Warrant    8-K    7/9/2014        4.1
    4.6    Form of Warrant to Purchase Common Stock    8-K    7/9/2014        4.2
    4.7    Form of Exchange Agreement    8-K    9/3/2014      10.1
    4.8    Form of Waiver Letter    8-K    9/3/2014      10.2
    4.9    Form of Common Stock Certificate    S-1    9/29/2014        4.1
    4.10    Form of Waiver Extension Letter    8-K    9/30/2014      10.1
    4.11*    Form of Subscription Agreement, dated March 31, 2015, between the Company and the subscribers set forth on the signature pages thereto         
    4.12*    Form of Common Stock Purchase Warrant         
    4.13*    Form of Registration Rights Agreement, dated March 31, 2015, between the Company and the persons and entities identified on the signature pages thereto         
  10.1    Separation Agreement and Release, dated May 12, 2014, between Michael M. Wick and the Company    8-K    5/12/2014      10.4
  10.2    Separation Agreement and Release, dated May 12, 2014, between William P. Kaplan and the Company    8-K    5/12/2014      10.5
  10.3    Separation Agreement and Release, dated May 12, 2014, between Steven R. Schow and the Company    8-K    5/12/2014      10.6
  10.4    Separation Agreement and Release, dated May 12, 2014, between Wendy K. Wee and the Company    8-K    5/12/2014      10.7
  10.5    Michael Wick Resignation Letter, dated July 7, 2014    8-K    7/9/2014      99.1
  10.6    Edward W. Cantrall Resignation Letter, dated July 7, 2014    8-K    7/9/2014      99.2
  10.7    Steven R. Goldring Resignation Letter, dated July 7, 2014    8-K    7/9/2014      99.3
  10.9    Richard B. Newman Resignation Letter, dated July 7, 2014    8-K    7/9/2014      99.4
  10.10    Employment Agreement, dated July 8, 2014, by and between MabVax Therapeutics, Inc. and J. David Hansen    10-Q    8/8/2014      10.9
  10.11    Employment Agreement, dated July 8, 2014, by and between MabVax Therapeutics, Inc. and Gregory P. Hanson    10-Q    8/8/2014      10.10
  10.12    Employment Agreement, dated July 8, 2014, by and between MabVax Therapeutics, Inc. and Wolfgang W. Scholz, Ph.D.    10-Q    8/8/2014      10.11
  10.13    Securities Purchase Agreement, dated July 8, 2014, by and between MabVax Therapeutics, Inc. and certain institutional investors set forth therein    10-Q    8/8/2014      10.12
  10.14    Form of Indemnification Agreement    8-K    9/9/2014      10.1
  10.15*    Second Amended and Restated MabVax Therapeutics Holdings, Inc. 2014 Employee, Director and Consultant Equity Incentive Plan         
  10.16    Non-Employee Director Compensation Policy    S-1    9/29/2014      10.22
  10.17    Standard Industrial Net Lease, dated as of May 23, 2008, by and between MabVax Therapeutics, Inc. and Sorrento Square    S-1    9/29/2014      10.23
  10.18    First Amendment to that Standard Industrial Net Lease, dated May 6, 2010, by and between MabVax Therapeutics, Inc. and Sorrento Square    S-1    9/29/2014      10.24
  10.19    Second Amendment to that Standard Industrial Net Lease, dated August 1, 2012, by and between the Company and Sorrento Square    S-1    9/29/2014      10.25
  10.20    Employment Agreement, dated July 21, 2014, 2014, by and between MabVax Therapeutics, Inc. and Paul Maffuid, Ph.D.    S-1    9/29/2014      10.31
  10.21    Development and Manufacturing Services Agreement, dated April 15, 2014, by and between MabVax Therapeutics, Inc. and Gallus BioPharmaceuticals NJ, LLC    S-1/A    10/14/2014      10.26

 

3


Exhibit
No.

  

Description

  

Form

  

Filing

Date/Period
End

  

Exhibit
Number

  10.22    Exclusive License Agreement for “Polyvalent Conjugate Vaccines for Cancer” (SK#14491), dated as of June 30, 2008, by and between MabVax Therapeutics, Inc. and Sloan-Kettering Institute for Cancer Research    S-1/A    10/14/2014    10.27
  10.23    Research and License Agreement, dated as of April 7, 2008, by and between MabVax Therapeutics, Inc. and Sloan-Kettering Institute for Cancer Research    S-1/A    10/14/2014    10.28
  10.24    Exclusive License to Unimolecular Antibodies, dated October 13, 2011, by and between MabVax Therapeutics, Inc. and Sloan-Kettering Institute for Cancer Research    S-1/A    10/14/2014    10.29
  10.25    Option Agreement, dated August 29, 2014, by and between MabVax Therapeutics, Inc. and Juno Therapeutics, Inc.    S-1/A    10/14/2014    10.30
  10.26    SBIR Contract from National Cancer Institute    S-1/A    10/14/2014    10.34
  10.27    Form of Exchange Agreement (Series A-1 Preferred Stock and Series A-1 Warrants).    8-K    3/26/2015    10.1
  10.28    Form of Exchange Agreement (Series B Preferred Stock and Series B Warrants).    8-K    3/26/2015    10.2
  10.29*    2008 Equity Incentive Plan         
  10.30*    Form of Option Agreement, 2008 Equity Incentive Plan         
  11.1    Statement of per share earnings    S-1    9/29/2014    11.1
  14.1    Code of Ethics    10-K    3/5/2004    14.1
  21.1    Subsidiaries of the Registrant    S-1    9/29/2014    21.1
  23.1*    Consent of Independent Registered Public Accounting Firm         
  31.1*    Certification of Principal Executive Officer required by Section 302 of the Sarbanes-Oxley Act of 2002         
  31.2*    Certification of Principal Financial Officer required by Section 302 of the Sarbanes-Oxley Act of 2002         
  32.1*    Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002         
  32.2*    Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002         
  99.1*    Temporary Hardship Exemption per Regulation S-T         
101**    Interactive data file         

 

* Previously Furnished or Filed
** Filed herewith

 

4


SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: April 2, 2015

 

MABVAX THERAPEUTICS HOLDINGS, INC
By:

/s/ J. David Hansen

J. David Hansen
President and Chief Executive Officer

 

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