Filing Details
- Accession Number:
- 0000899243-21-044651
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-15 18:53:05
- Reporting Period:
- 2021-11-15
- Accepted Time:
- 2021-11-15 18:53:05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1851657 | Vaxxinity Inc. | VAXX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1206793 | R Gregory Blatt | C/O Vaxxinity, Inc 1717 Main St, Ste 3388 Dallas TX 75201 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2021-11-15 | 622,516 | $0.00 | 622,516 | No | 4 | C | Indirect | Held by Blatt Family Investments LLC |
| Class A Common Stock | Acquisiton | 2021-11-15 | 53,553 | $0.00 | 53,553 | No | 4 | C | Indirect | Held by The Gregory R. Blatt 2020 Annuity Trust IX |
| Class A Common Stock | Acquisiton | 2021-11-15 | 160,668 | $0.00 | 160,668 | No | 4 | C | Indirect | Held by The Gregory R. Blatt 2020 Annuity Trust III |
| Class A Common Stock | Acquisiton | 2021-11-15 | 76,923 | $0.00 | 76,923 | No | 4 | P | Indirect | Held by Bald Eagle IV LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Held by Blatt Family Investments LLC |
| No | 4 | C | Indirect | Held by The Gregory R. Blatt 2020 Annuity Trust IX |
| No | 4 | C | Indirect | Held by The Gregory R. Blatt 2020 Annuity Trust III |
| No | 4 | P | Indirect | Held by Bald Eagle IV LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Series A preferred stock | Disposition | 2021-11-15 | 968,636 | $0.00 | 622,516 | $0.00 |
| Class A Common Stock | Series A preferred stock | Disposition | 2021-11-15 | 83,329 | $0.00 | 53,553 | $0.00 |
| Class A Common Stock | Series B preferred stock | Disposition | 2021-11-15 | 250,000 | $0.00 | 160,668 | $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 | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- 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 securities are held by Blatt Family Investments LLC ("BFI"). The Reporting Person is the investment manager and a member of BFI, as well as the investment advisor of The Gregory R. Blatt 2018 GST Trust, which is also a member of BFI. 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 BFI in which the Reporting Person has no pecuniary interest.
- These securities are held by The Gregory R. Blatt 2020 Annuity Trust IX. The Reporting Person is the sole trustee and the investment advisor with all investment authority.
- These securities are held by The Gregory R. Blatt 2020 Annuity Trust III. The Reporting Person is the sole trustee and the investment advisor with all investment authority.
- The Reporting Person beneficially owns 76,923 shares of Class A common stock purchased by Bald Eagle IV LLC.
- Held by Bald Eagle IV LLC. The Reporting Person is a member of Bald Eagle IV LLC. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of all securities held by Bald Eagle IV LLC in which the Reporting Person has no pecuniary interest.
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