0000899243-22-003306.txt : 20220126 0000899243-22-003306.hdr.sgml : 20220126 20220126183945 ACCESSION NUMBER: 0000899243-22-003306 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220124 FILED AS OF DATE: 20220126 DATE AS OF CHANGE: 20220126 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: 22559191 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 2022-01-24 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 2022-01-24 4 M 0 652764 4.1192 A 729687 D Class A common stock 271655 I Held by spouse Class B common stock 1099915 D Stock Option (right to buy) 4.1192 2022-01-24 4 M 0 652764 0.00 D 2022-01-26 Class A common stock 652764 163191 D 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 Class B common stock is convertible into Class A common stock on a one-for-one basis and has no expiration date. The Reporting Person held 815,955 of these stock options set to expire on 1/26/2022 at the time of the transaction. 80% of the stock options vested upon closing of the initial public offering, and the remaining 20% are expected to expire before meeting vesting conditions. Previously, these stock options were incorrectly reported as having an expiration date of the earlier of one year following vesting and 8/3/2031. Rene Paula Molina, attorney-in-fact for Peter Diamandis 2022-01-26