Statement of Changes in Beneficial Ownership (4)
23 Junio 2022 - 06:55PM
Edgar (US Regulatory)
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FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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| 1. Name
and Address of Reporting Person * Powchik Peter |
2. Issuer Name and Ticker or Trading
Symbol Vaxxinity, Inc. [ VAXX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
1717 MAIN STREET, SUITE 3388 |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/21/2022
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(Street)
DALLAS, TX 75201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
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Class A common stock |
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|
|
|
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225858 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Stock option (right to buy) |
$2.09 |
6/21/2022 (1) |
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A |
|
129187 |
|
(2) |
(3) |
Class A common stock |
129187 |
$0 |
129187 |
D |
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Stock option (right to buy) |
$4.3000 |
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|
|
|
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(4) |
3/31/2032 (5) |
Class A common stock |
94186 |
|
94186 |
D |
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| Explanation of
Responses: |
| (1) |
These options were
automatically granted following the Issuer's annual shareholders
meeting pursuant to a policy adopted by the Issuer's board of
directors providing for annual non-employee director
compensation. |
| (2) |
These options vest on the
earliest of (i) the one-year anniversary of the grant date, (ii)
the following year's annual stockholder meeting, and (iii) a Change
in Control (as defined in the Vaxxinity, Inc. 2021 Omnibus
Incentive Compensation Plan), in each case, subject to the
Reporting Person's continued service with the issuer through the
vesting date. |
| (3) |
These stock options shall
expire upon the earlier of (i) the tenth anniversary of the grant
date, and (ii) three months after the date the Reporting Person
ceases to be a director, officer, employee or consultant of the
Issuer or one of its affiliates. |
| (4) |
These options are subject to
a three-year time-vesting schedule, with 31,395 shares vesting on
the first and second anniversaries of the grant date and the
remainder vesting on the third anniversary of the grant
date. |
| (5) |
The expiration date was
incorrectly reported as "03/31/2022" in the Form 4 filed on April
4, 2022. |
Reporting
Owners
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|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Powchik Peter
1717 MAIN STREET
SUITE 3388
DALLAS, TX 75201 |
X |
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Signatures
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/s/ Rene Paula Molina, attorney-in-fact for Peter
Powchik |
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6/23/2022 |
| **Signature of
Reporting Person |
Date |
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Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
| * |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
| ** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
|
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
Vaxxinity (NASDAQ:VAXX)
Gráfica de Acción Histórica
De May 2022 a Jun 2022
Vaxxinity (NASDAQ:VAXX)
Gráfica de Acción Histórica
De Jun 2021 a Jun 2022
