SecurityMBVX / MabVax Therapeutics Holdings, Inc. (55414P108)
PRESIDENT AND CEOHANSEN JOHN DAVID
Institutional Owners17
Form N-Q Owners1
Institutional Shares6,741,894 - 32.75% (ex. N-Q)
Common Shares Outstanding20,588,765 shares (as of 2017-09-30) (ex. N-Q)
Institutional Value$ 2,289,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

MabVax Therapeutics Holdings, Inc. (NASDAQ:MBVX) has 17 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 6,741,894 shares. Largest shareholders include Cambridge Investment Research Advisors, Inc., Honig Barry C, Stetson John, Frost Phillip Md Et Al, Virtu Financial LLC, Biomark Capital Management Co. LLC, Bank Of America Corp /de/, UBS Group AG, Lakeview Capital Partners, LLC, and Two Sigma Securities, Llc.

MabVax Therapeutics Holdings, Inc. (NASDAQ:MBVX) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

Stop missing out on important events!

Fintel provides real time notifications of important company events such as major investments (13D/G filings), insider trades (SEC form 4), and important SEC filings. Sign up and create your company alerts for free.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2018-02-16 SC 13D/A Honig Barry C 1,208,904 1,208,904 0.00
2018-02-07 13F-HR BRIGHTON JONES LLC 10,000 10,000 0.00 7 7 0.00
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 7 7 0.00 0 0
2018-02-14 13F-HR MORGAN STANLEY 374 0 -100.00 0 0
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 30,798 0 -100.00 20 0 -100.00
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 3 3 0.00 0 0
2018-02-12 13F-HR CLS Investments, LLC 1,000 1,000 0.00 1 1 0.00
2018-02-22 13F-HR Cambridge Investment Research Advisors, Inc. 2,495,203 3,058,703 22.58 1,622 2,141 32.00
2018-02-14 13F-HR DEUTSCHE BANK AG\ 3 3 0.00 0 0
2018-01-30 SC 13G/A FROST PHILLIP MD ET AL 422,334 1,059,157 150.79
2017-11-29 N-Q Vanguard Index Funds (see advisory)
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 18,996 18,996 0.00 12 13 8.33
2018-02-12 SC 13D Stetson John 854,682 1,204,352 40.91
2018-02-02 13F-HR Delaney Dennis R 10,000 10,000 0.00 7 7 0.00
2018-02-14 13F-HR UBS Group AG 30,625 17,547 -42.70 20 12 -40.00
2018-02-13 13F-HR Biomark Capital Management Co. LLC 26,708 26,708 0.00 17 19 11.76
2018-02-14 13F-HR TWO SIGMA SECURITIES, LLC 10,044 12,400 23.46 7 9 28.57
2018-02-09 13F-HR Virtu Financial LLC 99,114 69
2018-01-29 13F-HR Lakeview Capital Partners, LLC 15,000 15,000 0.00 10 11 10.00

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( MBVX / MabVax Therapeutics Holdings, Inc. ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!


CUSIP: 55414P108