UNITED STATES
  SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
 
FORM 10-Q/A
 
Amendment No. 1
 
☒
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2018
 
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: 001-37861
 
 
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.)
 
11535 Sorrento Valley Road, Suite 400, San Diego, CA 92121
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES INCLUDING ZIP CODE)
 
(858) 259-9405
(REGISTRANT’S TELEPHONE NUMBER, INCLUDING AREA CODE)
 
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   ☒     No   ☐
 
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files).    Yes   ☒     No   ☐
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
 
Large accelerated filer
☐
Accelerated filer
☐
Non-accelerated filer
☐   
Smaller reporting company
☒
Emerging growth company 
☐      
 
 
 
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. ☐
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  ☐     No  ☒
 
The number of shares of registrant’s common stock outstanding as of March 29, 2019 was 9,429,582.


 

 
 
 
 
EXPLANATORY NOTE
 
We are filing Amendment No. 1 to t his quarterly report on Form 10-Q for the sole purpose of including a revised Exhibit 10.1 that incorporates revisions to the amount of text for which confidential treatment has been requested. Exhibit 10.1 represents the Asset Purchase and License Agreement by and between Boehringer Ingelheim International GMBH and MabVax Therapeutics Holdings, Inc. and MabVax Therapeutics, Inc.
 
Item 6. Exhibits.
 
The following is a list of exhibits filed as part of this Quarterly Report on Form 10-Q.
 
 
 
Exhibit
No.
Exhibit Name
Filed
with this Form 10-Q
Asset Purchase and License Agreement with Boehringer Ingelheim International GmbH
 X
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 X
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 X
Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
 X
101*
Interactive data file
 
 
* Furnished herewith
† Confidential treatment requested for portions of this exhibit. Confidential materials omitted and filed separately with the SEC.
 
 
 
 
 

 
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 thereunto duly authorized.
 
 
 
 
Date: March 29, 2019
MABVAX THERAPEUTICS HOLDINGS, INC.
 
 
 
 
By:
/s/ J. David Hansen
 
 
J. David Hansen
 
 
President and Chief Executive Officer
(Principal Executive Officer authorized
to sign on behalf of the registrant)
 
 
 
 
 
 
 
 
By:
/s/ Gregory P. Hanson
 
 
Gregory P. Hanson
 
 
Chief Financial Officer
(Principal Financial and Accounting Officer
authorized to sign on behalf of the registrant)