0001437749-23-018541.txt : 20230626 0001437749-23-018541.hdr.sgml : 20230626 20230626183903 ACCESSION NUMBER: 0001437749-23-018541 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230620 FILED AS OF DATE: 20230626 DATE AS OF CHANGE: 20230626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HORNIG GEORGE R CENTRAL INDEX KEY: 0001049488 STANDARD INDUSTRIAL CLASSIFICATION: FORESTRY [0800] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41058 FILM NUMBER: 231043620 MAIL ADDRESS: STREET 1: 625 MADISON AVE SUITE 10-B CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vaxxinity, Inc. CENTRAL INDEX KEY: 0001851657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 862083865 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 505 ODYSSEY WAY CITY: EXPLORATION PARK STATE: FL ZIP: 32953 BUSINESS PHONE: (254) 244-5739 MAIL ADDRESS: STREET 1: 505 ODYSSEY WAY CITY: EXPLORATION PARK STATE: FL ZIP: 32953 4 1 rdgdoc.xml FORM 4 X0407 4 2023-06-20 0001851657 Vaxxinity, Inc. VAXX 0001049488 HORNIG GEORGE R 505 ODYSSEY WAY MERRITT ISLAND FL 32953 1 0 Stock option (right to buy) 2.21 2023-06-20 4 A 0 132352 0 A Class A common stock 132352 132352 D 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. 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. 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. /s/ Rene Paula Molina, attorney-in-fact for George Hornig 2023-06-26