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