Farshad Guirakhoo - 13 Jan 2022 Form 4 Insider Report for Vaxxinity, Inc. (VAXX)

Role
(Former) Chief Scientific Off.
Signature
/s/ Rene Paula Molina, attorney-in-fact for Farshad Guirakhoo
Issuer symbol
VAXX
Transactions as of
13 Jan 2022
Transactions value $
$33,428
Form type
4
Filing time
29 Aug 2022, 16:45:35 UTC
Previous filing
15 Nov 2021
Next filing
05 May 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 Options Exercise $5.7K +10K $0.57 10K 13 Jan 2022 Direct
transaction VAXX Class A common stock Options Exercise $11.4K +20K +100% $0.57 40K 29 Jul 2022 Direct F1
transaction VAXX Class A common stock Options Exercise $14.8K +26K +65.01% $0.57 66K 15 Aug 2022 Direct
transaction VAXX Class A common stock Options Exercise $1.5K +2.64K +4% $0.57 68.6K 22 Aug 2022 Direct

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) Options Exercise $0 -10K -7.89% $0.00 117K 13 Jan 2022 Class A common stock 10K $0.57 Direct F2
transaction VAXX Stock option (right to buy) Options Exercise $0 -20K -18.74% $0.00 86.7K 29 Jul 2022 Class A common stock 20K $0.57 Direct F2, F3
transaction VAXX Stock option (right to buy) Options Exercise $0 -26K -29.98% $0.00 60.7K 15 Aug 2022 Class A common stock 26K $0.57 Direct F2
transaction VAXX Stock option (right to buy) Options Exercise $0 -2.64K -4.35% $0.00 58.1K 22 Aug 2022 Class A common stock 2.64K $0.57 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Farshad Guirakhoo is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 The Reporting Person's Form 4 filed on May 5, 2022 incorrectly reported that the Reporting Person owned 10,000 shares of Class A common stock after the transaction on May 3, 2022 but the Reporting Person then owned 20,000 shares of Class A common stock.
F2 These options are subject to a four year time-based vesting schedule, with 25% vested on 6/5/2021 and the remainder vesting in equal installments each month during the remainder of the vesting period.
F3 The Reporting Person's Form 4 filed on May 5, 2022 incorrectly reported that the Reporting Person owned 116,730 of these stock options after the transaction on May 3, 2022 but the Reporting Person then owned 106,730 of these stock options.