Rene Paula - Nov 10, 2021 Form 3 Insider Report for Vaxxinity, Inc. (VAXX)

Role
Chief Legal Officer and Secretary
Signature
/s/ Rene Paula
Stock symbol
VAXX
Transactions as of
Nov 10, 2021
Transactions value $
$0
Form type
3
Date filed
11/10/2021, 03:59 PM
Next filing
Nov 15, 2021

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) Nov 10, 2021 Class A common stock 81.2K $4.01 Direct F1
holding VAXX Stock option (right to buy) Nov 10, 2021 Class A common stock 223K $4.01 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents 81,170 time-vesting options. These options are subject to a four-year time-vesting schedule, with 25% vesting on 1/25/2022 and the remainder vesting in equal installments each month during the remainder of vesting period.
F2 Represents 223,311 time-vesting options. These options are subject to a four-year time-vesting schedule, with 25% vesting on 1/25/2022 and the remainder vesting in equal installments each month during the remainder of vesting period.

Remarks:

Chief Legal Officer and Secretary