Peter Powchik - 01 Oct 2023 Form 4 Insider Report for Vaxxinity, Inc.

Role
Director
Signature
/s/ Rene Paula Molina, attorney-in-fact for Peter Powchik
Issuer symbol
VAXX on OTC
Transactions as of
01 Oct 2023
Net transactions value
$0
Form type
4
Filing time
11 Oct 2023, 21:42:02 UTC
Previous filing
26 Jun 2023
SEC
View on sec.gov

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 +159,744 $0.000000 159,744 02 Oct 2023 Class A common stock 159,744 $1.27 Direct F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These options were granted following the Reporting Person joining the Issuer's leadership team as Executive Vice President, Global Scientific Director, effective October 1, 2023, while remaining a member of the Issuer's board of directors.
F2 These options vest in 12 equal monthly installments beginning on October 1, 2023.
F3 These stock options shall expire upon the earlier of (i) the tenth anniversary of the grant date, and (ii) three months after the date the Reporting Person ceases to be a director, officer, employee or consultant of the Issuer or one of its affiliates.