0000899243-21-044652.txt : 20211115 0000899243-21-044652.hdr.sgml : 20211115 20211115185345 ACCESSION NUMBER: 0000899243-21-044652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211115 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Diamandis Peter CENTRAL INDEX KEY: 0001528288 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41058 FILM NUMBER: 211413429 MAIL ADDRESS: STREET 1: 4640 ADMIRALTY WAY STREET 2: SUITE 500 CITY: MARINA DEL REY STATE: CA ZIP: 90292 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 doc4.xml FORM 4 SUBMISSION X0306 4 2021-11-15 0 0001851657 Vaxxinity, Inc. VAXX 0001528288 Diamandis Peter C/O VAXXINITY, INC 1717 MAIN ST, STE 3388 DALLAS TX 75201 1 0 0 0 Class A common stock 2021-11-15 4 C 0 271655 A 271655 I Held by spouse Class A common stock 2021-11-15 4 P 0 76923 0.00 A 76923 I Held by Bald Eagle IV LLC Class B common stock 1099915 D Series A preferred stock 2021-11-15 4 C 0 21511 D Class A common stock 13824 0 I Held by spouse 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 securities are held by Kristin Diamandis, 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 Kristin Diamandis in which the Reporting Person has no pecuniary interest. The Reporting Person beneficially owns 76,923 shares of Class A common stock purchased by Bald Eagle IV LLC. Held by Bald Eagle IV LLC. The Reporting Person is a member of Bald Eagle IV LLC. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of all securities held by Bald Eagle IV LLC in which the Reporting Person has no pecuniary interest. The Class B common stock is convertible into Class A common stock on a one-for-one basis and has no expiration date. /s/ Rene Paula, attorney-in-fact for Peter Diamandis 2021-11-15