Ulo Palm - 15 Nov 2021 Form 4 Insider Report for Vaxxinity, Inc. (VAXX)

Role: Chief Medical Officer
Signature: /s/ Rene Paula, attorney-in-fact for Dr. Ulo Palm
Issuer symbol: VAXX
Transactions as of: 15 Nov 2021
Transactions value $: $5,850
Form type: 4
Filing time: 15 Nov 2021, 17:52:09 UTC
Previous filing: 10 Nov 2021
Next filing: 15 Mar 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	VAXX	Class A common stock	Purchase	$5.85K	+450		$13.00^*	450	15 Nov 2021	Held by spouse	F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	VAXX	Stock option (right to buy)	Award	$0	+233K		$0.00	233K	11 Nov 2021	Class A common stock	233K	$13.00	Direct	F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	These securities were purchased through the Issuer's directed share program in connection with its initial public offering.
F2	These securities are held by Kathrin Palm, 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 Kathrin Palm in which the Reporting Person has no pecuniary interest.
F3	These options are subject to a four-year time-vesting schedule, with 25% vesting on the first anniversary of the grant date and the remainder vesting in equal installments each month during the remainder of the vesting period.