Martin Doran - 10 Nov 2021 Form 3 Insider Report for Vaxxinity, Inc.

Role
Officer
Signature
/s/ Rene Paula, attorney-in-fact for Martin Doran
Issuer symbol
VAXX on OTC
Transactions as of
10 Nov 2021
Net transactions value
$0
Form type
3
Filing time
10 Nov 2021, 15:58:23 UTC
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding VAXX Class A common stock 22,688 10 Nov 2021 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
holding VAXX Stock option (right to buy) 10 Nov 2021 Class A common stock 9,406 $0.2841 Direct F1
holding VAXX Stock option (right to buy) 10 Nov 2021 Class A common stock 10,560 $0.5681 Direct F2
holding VAXX Stock option (right to buy) 10 Nov 2021 Class A common stock 42,244 $4.12 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents 9,406 time-vesting options. These options are subject to a four-year time-based vesting schedule, with 25% having vested on 12/28/2019 and the remainder vesting in equal installments each month during the remainder of the vesting period.
F2 Represents 10,560 time vesting options. These options are subject to a four-year time-based vesting schedule, with 25% having vested on 7/1/2021 and the remainder vesting in equal installments each month during the remainder of the vesting period.
F3 Represents 42,244 time-vesting options. These options are subject to a four-year time-based vesting schedule, with 25% vesting on 1/26/2022 and the remainder vesting in equal installments each month during the remainder of the vesting period.

Remarks:

Interim Chief Financial Officer, Treasurer and Principal Accounting Officer Exhibit 24 - Power of Attorney