X0306 4 2021-11-12 0 0001851657 Vaxxinity, Inc. VAXX 0001890585 Hu Mei Mei C/O VAXXINITY, INC 1717 MAIN ST, STE 3388 DALLAS TX 75201 1 1 1 0 See Remarks Class A common stock 2021-11-15 4 C 0 271655 A 271655 I Held by Blackfoot Healthcare Ventures LLC Class A common stock 2021-11-15 4 C 0 247050 A 51585416 I Held by United Biomedical Inc. Class A common stock 2021-11-15 4 C 0 4212495 A 4212495 I Held by United Biomedical Inc., Asia Class A common stock 2021-11-12 4 P 0 17500 13.824 A 17500 I Held by spouse Class B common stock 5518961 D Class B common stock 3955512 I Held by spouse Series A preferred stock 2021-11-15 4 C 0 422696 D Class A common stock 271655 0 I Held by Blackfoot Healthcare Ventures LLC Series A preferred stock 2021-11-15 4 C 0 384410 D Class A common stock 247050 0 I Held by United Biomedical Inc. Series A preferred stock 2021-11-15 4 C 0 6554643 D Class A common stock 4212495 0 I Held by United Biomedical Inc., Asia Shares of preferred stock automatically converted into shares of Class A common stock upon closing of the Issuer's initial public offering based on a conversion rate of approximately 0.643 shares of Class A common stock for each share of preferred stock. 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. These securities are held by United Biomedical Inc. ("UBI"). The Reporting Person, Louis Reese, 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. The Reporting Person, Louis Reese, 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. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.56 to $13.95, inclusive. These securities are held by Louis Reese, 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. Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date. Chief Executive Officer and President. The Reporting Person, Louis Reese, Blackfoot and UBI have entered into a voting agreement providing the Reporting Person with the authority (and irrevocable proxies) to vote the shares of capital stock held by such stockholders at the Reporting Persons' discretion on all matters to be voted upon by stockholders of Vaxxinty, Inc. 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 such stockholders in which the Reporting Person has no pecuniary interest. /s/ Rene Paula, attorney-in-fact for Mei Mei Hu 2021-11-15