Form D · Biotechnology
MABVAX THERAPEUTICS INC
San Diego, CA · CIK 0001429968
Offering snapshot reported Jul 10, 2014 · SEC filing
- Reported sold
- $3.04M Offering amount: $10M
- Investors reported
- 23 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 8, 2014 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 10, 2014 | Initial | $3,040,635 | No comparison | 23 | SEC filing |
| Feb 25, 2014 | Initial | $12,050,998 | No comparison | 15 | SEC filing |
| Sep 2, 2009 | Initial | $500,010 | No comparison | 1 | SEC filing |
| Mar 13, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $800K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-220687
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. WAINWRIGHT & CO. LLC | 375 | H.C. WAINWRIGHT & CO. LLC · CRD 375 |
| DAWSON JAMES SECURITIES, INC. | 130645 | DAWSON JAMES SECURITIES, INC. · CRD 130645 |
| PALLADIUM CAPITAL ADVISORS, LLC | 129400 | PALLADIUM CAPITAL ADVISORS, LLC · CRD 129400 |
Source: Form D, filed Jul 10, 2014. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| James Antonopoulos | Director |
| Jim J. Antonopoulos | Director |
| Kenneth M. Cohen | Director |
| J. David Hansen | Director, Executive |
| Gregory P. Hanson | Executive |
| Douglas D. Lind | Director |
| Philip O. Livingston | Director, Executive |
| Paul Maier | Director |
| Jeffrey V. Ravetch | Director |
| Nick Stephens | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
11588 Sorrento Valley Road Suite 20
San Diego, CA, 92121
San Diego, CA, 92121