0001062993-21-000219.txt : 20210108 0001062993-21-000219.hdr.sgml : 20210108 20210108171736 ACCESSION NUMBER: 0001062993-21-000219 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210106 FILED AS OF DATE: 20210108 DATE AS OF CHANGE: 20210108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hopfner Robert Lorne CENTRAL INDEX KEY: 0001551966 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39323 FILM NUMBER: 21518348 MAIL ADDRESS: STREET 1: C/O BAY CITY CAPITAL, LLC STREET 2: 750 BATTERY STREET, SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vaxcyte, Inc. CENTRAL INDEX KEY: 0001649094 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 464233385 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 353 HATCH DR CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 650-837-0111 MAIL ADDRESS: STREET 1: 353 HATCH DR CITY: FOSTER CITY STATE: CA ZIP: 94404 FORMER COMPANY: FORMER CONFORMED NAME: SutroVax, Inc. DATE OF NAME CHANGE: 20150724 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2021-01-06 1 0001649094 Vaxcyte, Inc. PCVX 0001551966 Hopfner Robert Lorne C/O VAXCYTE, INC. 353 HATCH DRIVE FOSTER CITY CA 94404 1 0 0 0 Common Stock 2021-01-06 4 S 0 34913 29.24 D 2188054 I By Pivotal bioVenture Partners Fund I, L.P. Common Stock 2021-01-06 4 S 0 22507 29.99 D 2165547 I By Pivotal bioVenture Partners Fund I, L.P. Common Stock 2021-01-07 4 S 0 24524 27.75 D 2141023 I By Pivotal bioVenture Partners Fund I, L.P. Common Stock 2021-01-07 4 S 0 22587 28.80 D 2118436 I By Pivotal bioVenture Partners Fund I, L.P. Common Stock 2021-01-07 4 S 0 469 29.51 D 2117967 I By Pivotal bioVenture Partners Fund I, L.P. Common Stock 2021-01-08 4 S 0 31468 26.43 D 2086499 I By Pivotal bioVenture Partners Fund I, L.P. Common Stock 2021-01-08 4 S 0 8944 27.08 D 2077555 I By Pivotal bioVenture Partners Fund I, L.P. Common Stock 2021-01-08 4 S 0 200 28.23 D 2077355 I By Pivotal bioVenture Partners Fund I, L.P. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.60 to $29.59, inclusive. The reporting person undertakes to provide to Vaxcyte, Inc., any security holder of Vaxcyte, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4), (5), (6), (7), (8) and (9) to this Form 4. The shares are held of record by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The general partner of Pivotal is Pivotal bioVenture Partners Fund I G.P., L.P., ("Pivotal GP"). The general partner of Pivotal GP is Pivotal bioVenture Partners Fund I U.G.P., Ltd, (the "Ultimate General Partner"). The board of directors of the Ultimate General Partner may, along with the Ultimate General Partner, be deemed to have shared voting and dispositive power over the shares owned by Pivotal. Rob Hopfner is the managing partner of Pivotal bioVenture Partners Investment Advisor LLC and may be deemed to share voting and investment power over the shares held directly by Pivotal bioVenture Partners. Mr. Hopfner disclaims beneficial ownership over such shares except to the extent of any pecuniary interest therein. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.60 to $30.50, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.34 to $28.33, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.34 to $29.33, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.34 to $29.53, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $26.99, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.99, inclusive. /s/ Rob Hofner 2021-01-08