0000899243-22-015863.txt : 20220428 0000899243-22-015863.hdr.sgml : 20220428 20220428192554 ACCESSION NUMBER: 0000899243-22-015863 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220426 FILED AS OF DATE: 20220428 DATE AS OF CHANGE: 20220428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reese Lou CENTRAL INDEX KEY: 0001890674 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41058 FILM NUMBER: 22869182 MAIL ADDRESS: STREET 1: C/O VAXXINITY, INC. STREET 2: 1717 MAIN ST STE. 3388 CITY: DALLAS STATE: TX ZIP: 75201 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 2022-04-26 0 0001851657 Vaxxinity, Inc. VAXX 0001890674 Reese Lou C/O VAXXINITY, INC 1717 MAIN ST, STE 3388 DALLAS TX 75201 1 1 0 0 Executive Chairman Class A common stock 271655 I Held by Blackfoot Healthcare Ventures LLC Class A common stock 2022-04-26 4 P 0 18105 3.4503 A 51611559 I Held by United Biomedical Inc. Class A common stock 2022-04-27 4 P 0 4807 3.5826 A 51616366 I Held by United Biomedical Inc. Class A common stock 4212495 I Held by United Biomedical Inc., Asia Class A common stock 17500 D Class B common stock 3955512 D Class B common stock 5518961 I Held by spouse These shares are held by Blackfoot Healthcare Ventures LLC ("Blackfoot"). The Reporting Person is one of two shareholders of Blackfoot and may therefore be deemed to beneficially own the securities held by Blackfoot. 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 Blackfoot in which the Reporting Person has no pecuniary interest. The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by United Biomedical Inc. The price reported is a weighted average price. These securities are held by United Biomedical Inc. ("UBI"). Mei Mei Hu, the Reporting Person, Nean Hu and Chang Yi Wang, together as a group, control more than 50% of the equity interests of UBI, and together share investment control of all shares held by UBI. 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 UBI in which the Reporting Person has no pecuniary interest. Held by United Biomedical, Asia Inc. ("UBIA"). UBI, through a subsidiary, holds a majority equity interest in UBIA and may be deemed to be the beneficial owner of the shares held by UBIA. Mei Mei Hu, the Reporting Person, Nean Hu and Chang Yi Wang, together as a group, control more than 50% of the equity interests of UBI, and together share investment control of all shares held by UBI. 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 UBI in which the Reporting Person has no pecuniary interest. Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date. These securities are held by Mei Mei Hu, 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 Louis Reese in which the Reporting Person has no pecuniary interest. /s/ Lou Reese 2022-04-28