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
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
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
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date.
  7. 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.