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Filing Details

Accession Number:: 0000899243-21-044644
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-11-15 18:48:58
Reporting Period:: 2021-11-12

Accepted Time:: 2021-11-15 18:48:58
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1851657	Vaxxinity Inc.	VAXX	Pharmaceutical Preparations (2834)	862083865

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1890674	Lou Reese	C/O Vaxxinity, Inc 1717 Main St, Ste 3388 Dallas TX 75201	Executive Chairman	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2021-11-15	271,655	$0.00	271,655	No	4	C	Indirect	Held by Blackfoot Healthcare Ventures LLC
Class A Common Stock	Acquisiton	2021-11-15	247,050	$0.00	51,585,416	No	4	C	Indirect	Held by United Biomedical Inc.
Class A Common Stock	Acquisiton	2021-11-15	4,212,495	$0.00	4,212,495	No	4	C	Indirect	Held by United Biomedical Inc., Asia
Class A Common Stock	Acquisiton	2021-11-12	17,500	$13.82	17,500	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	Held by Blackfoot Healthcare Ventures LLC
No	4	C	Indirect	Held by United Biomedical Inc.
No	4	C	Indirect	Held by United Biomedical Inc., Asia
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Series A preferred stock	Disposition	2021-11-15	422,696	$0.00	271,655	$0.00
Class A Common Stock	Series A preferred stock	Disposition	2021-11-15	384,410	$0.00	247,050	$0.00
Class A Common Stock	Series A preferred stock	Disposition	2021-11-15	6,554,643	$0.00	4,212,495	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class B Common Stock	3,955,512	Direct
Class B Common Stock	5,518,961	Indirect	Held by spouse

Footnotes

Shares of preferred stock automatically converted into shares of Class A common stock upon closing of the Issuer's initial public offering based on a conversion rate of approximately 0.643 shares of Class A common stock for each share of preferred stock.
These shares are held by Blackfoot Healthcare Ventures LLC ("Blackfoot"). The Reporting Person is one of two shareholders of Blackfoot and may therefore be deemed to beneficially own the securities held by Blackfoot. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by Blackfoot in which the Reporting Person has no pecuniary interest.
These securities are held by United Biomedical Inc. ("UBI"). Mei Mei Hu, the Reporting Person, Nean Hu and Chang Yi Wang, together as a group, control more than 50% of the equity interests of UBI, and together share investment control of all shares held by UBI. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by UBI in which the Reporting Person has no pecuniary interest.
Held by United Biomedical, Asia Inc. ("UBIA"). UBI, through a subsidiary, holds a majority equity interest in UBIA and may be deemed to be the beneficial owner of the shares held by UBIA. Mei Mei Hu, the Reporting Person, Nean Hu and Chang Yi Wang, together as a group, control more than 50% of the equity interests of UBI, and together share investment control of all shares held by UBI. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by UBI in which the Reporting Person has no pecuniary interest.
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.56 to $13.95, inclusive.
Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date.
These securities are held by Mei Mei Hu, the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by Louis Reese in which the Reporting Person has no pecuniary interest.