Peter Diamandis - 26 Apr 2023 Form 4 Insider Report for Vaxxinity, Inc. (VAXX)

Role: Director
Signature: /s/ Rene Paula Molina, attorney-in-fact for Peter Diamandis
Issuer symbol: VAXX
Transactions as of: 26 Apr 2023
Transactions value $: $300,816
Form type: 4
Filing time: 02 May 2023, 10:46:25 UTC
Previous filing: 14 Feb 2023
Next filing: 16 Jun 2023
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	$244,551	+429,037	+99.64%	$0.57	859,641	26 Apr 2023	Direct
transaction	VAXX	Class A common stock	Options Exercise	$56,265	+46,500	+5.41%	$1.21	906,141	26 Apr 2023	Direct
holding	VAXX	Class A common stock						13,824	26 Apr 2023	Held by spouse	F1
holding	VAXX	Class B common stock						1,099,915	26 Apr 2023	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	-429,037	-81.25%	$0	99,009	26 Apr 2023	Class A common stock	429,037	$0.57	Direct	F2
transaction	VAXX	Stock option (right to buy)	Options Exercise	$0	-46,500	-5.97%	$0	732,642	26 Apr 2023	Class A common stock	46,500	$1.21	Direct	F3

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

Explanation of Responses:

Id	Content
F1	These securities are held by Kristin Diamandis, 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 Kristin Diamandis in which the Reporting Person has no pecuniary interest.
F2	These options are subject to a four-year vesting schedule, with 25% having vested on December 30, 2020 and the remainder vesting in thirty-six equal installments each month during the remainder of the vesting period
F3	These options are subject to a four-year vesting schedule, beginning on June 2, 2020, vesting in equal installments each month during the vesting period.