Ulo Palm - 15 Nov 2021 Form 4 Insider Report for Vaxxinity, Inc.

Reporting relationship: Chief Medical Officer
Issuer ticker: N/A
Reported as of: 15 Nov 2021
Net transaction value: +$5,850
SEC form: 4
Accepted by SEC: 15 Nov 2021, 17:52:09 UTC
Prior SEC filing: 10 Nov 2021
Next SEC filing: 15 Mar 2022
Source filing: View source filing
Reporting owner signature: /s/ Rene Paula, attorney-in-fact for Dr. Ulo Palm

Key filing fact

Ulo Palm filed Form 4 for Vaxxinity, Inc. on 15 Nov 2021.

Key facts

This page summarizes Ulo Palm's Form 4 filing for Vaxxinity, Inc..
2 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 15 Nov 2021, 17:52.

Change

Previous filing in this sequence was filed on 10 Nov 2021.
Current net transaction value: +$5,850.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

VAXX transaction

Class A common stock

Purchase

Transaction value: $5,850
Shares: +450
Change %
Price: $13.00^*
Shares after: 450
Date: 15 Nov 2021
Ownership: Held by spouse
Footnotes: F1, F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

VAXX transaction Derivative

Stock option (right to buy)

Award

Transaction value: $0
Shares: +233,100
Change %
Price: $0.000000
Shares after: 233,100
Date: 11 Nov 2021
Ownership: Direct
Underlying class: Class A common stock
Underlying amount: 233,100
Exercise price: $13.00
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote F1

These securities were purchased through the Issuer's directed share program in connection with its initial public offering.

Footnote F2

These securities are held by Kathrin Palm, 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 Kathrin Palm in which the Reporting Person has no pecuniary interest.

Footnote F3

These options are subject to a four-year time-vesting schedule, with 25% vesting on the first anniversary of the grant date and the remainder vesting in equal installments each month during the remainder of the vesting period.