0001209191-18-010567.txt : 20180215
0001209191-18-010567.hdr.sgml : 20180215
20180215203347
ACCESSION NUMBER: 0001209191-18-010567
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180213
FILED AS OF DATE: 20180215
DATE AS OF CHANGE: 20180215
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tucker Sean
CENTRAL INDEX KEY: 0001652204
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35285
FILM NUMBER: 18619467
MAIL ADDRESS:
STREET 1: 385 OYSTER POINT BLVD., SUITE 9A
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Vaxart, Inc.
CENTRAL INDEX KEY: 0000072444
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 591212264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 395 OYSTER POINT BLVD., SUITE 405
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: (650) 550-3500
MAIL ADDRESS:
STREET 1: 395 OYSTER POINT BLVD., SUITE 405
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: Aviragen Therapeutics, Inc.
DATE OF NAME CHANGE: 20160413
FORMER COMPANY:
FORMER CONFORMED NAME: Biota Pharmaceuticals, Inc.
DATE OF NAME CHANGE: 20121113
FORMER COMPANY:
FORMER CONFORMED NAME: NABI BIOPHARMACEUTICALS
DATE OF NAME CHANGE: 20100719
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-02-13
0
0000072444
Vaxart, Inc.
VXRT
0001652204
Tucker Sean
395 OYSTER POINT BLVD, SUITE 405
SOUTH SAN FRANCISCO
CA
94080
0
1
0
0
Chief Scientific Officer
Common Stock
2018-02-13
4
A
0
45640
A
45640
D
Common Stock
2018-02-13
4
A
0
9060
A
9060
I
By spouse
Common Stock
2018-02-13
4
A
0
25388
A
25388
I
By joint trust with Frances Chang and Sean Tucker
Stock Option (right to buy)
6.49
2018-02-13
4
A
0
2014
A
2018-03-13
Common Stock
2014
2014
D
Stock Option (right to buy)
6.49
2018-02-13
4
A
0
4027
A
2020-08-27
Common Stock
4027
4027
D
Stock Option (right to buy)
6.49
2018-02-13
4
A
0
1006
A
2021-03-30
Common Stock
1006
1006
D
Stock Option (right to buy)
8.03
2018-02-13
4
A
0
3020
A
2022-04-13
Common Stock
3020
3020
D
Stock Option (right to buy)
6.49
2018-02-13
4
A
0
10523
A
2023-08-08
Common Stock
10523
10523
D
Stock Option (right to buy)
8.03
2018-02-13
4
A
0
11604
A
2024-05-08
Common Stock
11604
11604
D
Stock Option (right to buy)
17.49
2018-02-13
4
A
0
10067
A
2025-07-23
Common Stock
10067
10067
D
Stock Optin (right to buy)
12.98
2018-02-13
4
A
0
7731
A
2026-03-25
Common Stock
7731
7731
D
Stock Optin (right to buy)
4.07
2018-02-13
4
A
0
9060
A
2027-06-24
Common Stock
9060
9060
D
Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").
On March 13, 2008, Reporting Person was granted an option to purchase 100,000 shares of the common stock of Old Vaxart under Old Vaxart's Amended and Restated 2007 Equity Incentive Plan (the "Plan") at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 2,014 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.
On August 27, 2010, Reporting Person was granted an option to purchase 200,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 4,027 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.
On March 30, 2011, Reporting Person was granted an option to purchase 50,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 1,006 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.
On April 13, 2012, Reporting Person was granted an option to purchase 150,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.16 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 3,020 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $8.03 (as adjusted for the Stock Split). This option is fully vested.
On August 8, 2013, Reporting Person was granted an option to purchase 522,676 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 10,523 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.
On May 8, 2014, Reporting Person was granted an option to purchase 576,338 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.16 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 11,604 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $8.03 (as adjusted for the Stock Split). This option is fully vested.
On July 23, 2015, Reporting Person was granted an option to purchase 500,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.35 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 10,067 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $17.49 (as adjusted for the Stock Split). The option vests in 48 equal monthly installments beginning from July 1, 2015.
On March 25, 2016, Reporting Person was granted an option to purchase 384,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.26 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 7,731 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $12.98 (as adjusted for the Stock Split). The option vests in 48 equal monthly installments beginning from March 25, 2016.
On June 24, 2017, Reporting Person was granted an option to purchase 450,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.08 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 9,060 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $4.07 (as adjusted for the Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of June 14, 2017 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.
/s/ Wouter W. Latour, M.D., Attorney-in-Fact
2018-02-15