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Home > Insider Trading > Filing (0001387131-20-005770)

Filing Details

Accession Number:
0001387131-20-005770
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-06-18 16:30:41
Reporting Period:
2020-06-16
Accepted Time:
2020-06-18 16:30:41
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1649094 Vaxcyte Inc. PCVX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
860866 David Bonderman C/O Tpg Global, Llc
301 Commerce Street, Suite 3300
Fort Worth TX 76102		 No No Yes No
1099776 G James Coulter C/O Tpg Global, Llc
301 Commerce Street, Suite 3300
Fort Worth TX 76102		 No No Yes No
1495741 Tpg Group Holdings (Sbs) Advisors, Inc. C/O Tpg Global, Llc
301 Commerce Street, Suite 3300
Fort Worth TX 76102		 No No Yes No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-06-16 4,219,053 $0.00 4,219,053 No 4 C Indirect See Explanation of Responses
Common Stock Acquisiton 2020-06-16 937,500 $16.00 5,156,553 No 4 P Indirect See Explanation of Responses
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Explanation of Responses
No 4 P Indirect See Explanation of Responses
Reported Derivative Transactions
Show Other Fields >>
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C Preferred Stock Disposition 2020-06-16 3,471,758 $0.00 3,471,758 $0.00
Common Stock Series D Preferred Stock Disposition 2020-06-16 747,295 $0.00 747,295 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. David Bonderman and James G. Coulter are the sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of TPG Growth GenPar IV Advisors, LLC, which is the general partner of TPG Growth GenPar IV, L.P., which is the general partner of TPG Growth IV Switcheroo, L.P. ("TPG Switcheroo"), which directly holds 5,156,553 shares of Common Stock ("Common Stock"), of Vaxcyte, Inc. (the "Issuer").
  2. Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer (the "Certificate of Incorporation"), on June 16, 2020, the (a) shares of Series C Preferred Stock of the Issuer held by TPG Switcheroo automatically converted into 3,471,758 shares of Common Stock and (b) shares of Series D Preferred Stock of the Issuer (together with the Series C Preferred Stock, the "Preferred Stock") held by TPG Switcheroo automatically converted into 747,295 shares of Common Stock. Pursuant to the Certificate of Incorporation, the Preferred Stock had been convertible, at the option of the holder, at any time into shares of Common Stock at an initial conversion rate equal to one share of Common Stock per share of Preferred Stock.
  3. On June 16, 2020, in connection with the Issuer's initial public offering, TPG Switcheroo acquired 937,500 shares of Common Stock at a price of $16.00 per share.
  4. Because of the relationship between the Reporting Persons and TPG Switcheroo, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of TPG Switcheroo. Each of TPG Switcheroo and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of TPG Switcheroo's or such Reporting Person's pecuniary interest therein, if any.
  5. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.