Filing Details

Accession Number:
0000899243-22-023410
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-06-21 16:52:29
Reporting Period:
2022-06-16
Accepted Time:
2022-06-21 16:52:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1851657 Vaxxinity Inc. VAXX Pharmaceutical Preparations (2834) 862083865
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1890585 Mei Mei Hu C/O Vaxxinity, Inc
1717 Main St, Ste 3388
Dallas TX 75201
See Remarks Yes Yes Yes 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 2022-06-16 100,000 $1.99 51,737,344 No 4 P Indirect Held by United Biomedical Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by United Biomedical Inc.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 271,655 Indirect Held by Blackfoot Healthcare Ventures LLC
Class A Common Stock 4,212,495 Indirect Held by United Biomedical Inc., Asia
Class A Common Stock 17,500 Indirect Held by spouse
Class B Common Stock 5,518,961 Direct
Class B Common Stock 3,955,512 Indirect Held by spouse
Footnotes
  1. 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.
  2. The price reported is a weighted average price.
  3. 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.
  4. 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.
  5. 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.
  6. Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date.