Current Report Filing (8-k)
November 16 2017 - 7:18AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 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): November 14,
2017
MABVAX
THERAPEUTICS HOLDINGS, INC.
(Exact
name of registrant as specified in its charter)
Delaware
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000-31265
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93-0987903
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(State or
other jurisdiction
of
incorporation)
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(Commission
File Number)
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(IRS Employer
Identification
No.)
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11535
Sorrento Valley Rd., Suite 400
San Diego, CA 92121
(Address
of principal executive offices and zip code)
Registrant’s
telephone number, including area code: (858) 259-9405
N/A
(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:
☐ 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 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 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
8.01 Other Events.
On
November 16 2017, MabVax Therapeutics Holdings, Inc. (the
“Company”) issued a press release announcing that the
Company has regained compliance with the NASDAQ Capital
Market’s minimum stockholders’ equity listing
requirements. A copy of this press release is attached hereto as
Exhibit 99.1 and is incorporated herein by reference.
Item
9.01 Financial Statements and Exhibits. Exhibit
Exhibit
No.
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Description
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Press release
announcing that the Company regained compliance with the NASDAQ
Capital Market’s stockholders’
equity
requirement, issued
on November 16, 2017
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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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MABVAX THERAPEUTICS HOLDINGS, INC.
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Dated:
November 16, 2017
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/s/
Gregory P. Hanson
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Gregory
P. Hanson
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Chief Financial Officer
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