0001437749-22-015780.txt : 20220623 0001437749-22-015780.hdr.sgml : 20220623 20220623195827 ACCESSION NUMBER: 0001437749-22-015780 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: Diamandis Peter CENTRAL INDEX KEY: 0001528288 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41058 FILM NUMBER: 221036708 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 rdgdoc.xml FORM 4 X0306 4 2022-06-21 0001851657 Vaxxinity, Inc. VAXX 0001528288 Diamandis Peter 1717 MAIN STREET SUITE 3388 DALLAS TX 75201 1 Class A common stock 430604 D Class A common stock 13824 I Held by spouse Class B common stock 1099915 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) 1.2090 2031-03-01 Class A common stock 779142 779142 D Stock option (right to buy) 0.5681 2031-03-01 Class A common stock 528046 528046 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 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. Represents 779,142 time-vesting options. These options are subject to a four year vesting schedule, beginning on December 31, 2019, vesting in equal installments each month during the vesting period. Represents 528,046 time-vesting options. These options are subject to a four-year vesting schedule, with 25% having vested on 6/2/2021 and the remainder vesting in equal installments each month during the remainder of the vesting period. /s/ Rene Paula Molina, attorney-in-fact for Peter Diamandis 2022-06-23