0001437749-22-015778.txt : 20220623 0001437749-22-015778.hdr.sgml : 20220623 20220623195451 ACCESSION NUMBER: 0001437749-22-015778 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220621 FILED AS OF DATE: 20220623 DATE AS OF CHANGE: 20220623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Powchik Peter CENTRAL INDEX KEY: 0001377247 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41058 FILM NUMBER: 221036705 MAIL ADDRESS: STREET 1: REGENERON PHARMACEUTICALS, INC. STREET 2: 777 OLD SAW MILL RIVER ROAD CITY: TARRYTOWN STATE: NY ZIP: 10591 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vaxxinity, Inc. CENTRAL INDEX KEY: 0001851657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 862083865 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1717 MAIN STREET STREET 2: SUITE 3388 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (254) 244-5739 MAIL ADDRESS: STREET 1: 1717 MAIN STREET STREET 2: SUITE 3388 CITY: DALLAS STATE: TX ZIP: 75201 4 1 rdgdoc.xml FORM 4 X0306 4 2022-06-21 0001851657 Vaxxinity, Inc. VAXX 0001377247 Powchik Peter 1717 MAIN STREET SUITE 3388 DALLAS TX 75201 1 Class A common stock 225858 D Stock option (right to buy) 2.09 2022-06-21 4 A 0 129187 0 A Class A common stock 129187 129187 D Stock option (right to buy) 4.3000 2032-03-31 Class A common stock 94186 94186 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. 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. The expiration date was incorrectly reported as "03/31/2022" in the Form 4 filed on April 4, 2022. /s/ Rene Paula Molina, attorney-in-fact for Peter Powchik 2022-06-23