Gregory R. Blatt - Nov 16, 2021 Form 4 Insider Report for Vaxxinity, Inc. (VAXX)

Role
Director
Signature
/s/ Rene Paula, attorney-in-fact for Gregory R. Blatt
Stock symbol
VAXX
Transactions as of
Nov 16, 2021
Transactions value $
$0
Form type
4
Date filed
11/18/2021, 05:00 PM
Previous filing
Nov 15, 2021
Next filing
Jun 23, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VAXX Class A common stock Other $0 -76.9K -100% $0.00* 0 Nov 16, 2021 Held by Bald Eagle IV LLC F4
transaction VAXX Class A common stock Other $0 +76.9K $0.00 76.9K Nov 16, 2021 Direct F5
holding VAXX Class A common stock 623K Nov 16, 2021 Held by Blatt Family Investments LLC F1
holding VAXX Class A common stock 53.6K Nov 16, 2021 Held by The Gregory R. Blatt 2020 Annuity Trust IX F2
holding VAXX Class A common stock 161K Nov 16, 2021 Held by The Gregory R. Blatt 2020 Annuity Trust III 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 Blatt Family Investments LLC ("BFI"). The Reporting Person is the investment manager and a member of BFI, as well as the investment advisor of The Gregory R. Blatt 2018 GST Trust, which is also a member of BFI. 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 BFI in which the Reporting Person has no pecuniary interest.
F2 These securities are held by The Gregory R. Blatt 2020 Annuity Trust IX. The Reporting Person is the sole trustee and the investment advisor with all investment authority.
F3 These securities are held by The Gregory R. Blatt 2020 Annuity Trust III. The Reporting Person is the sole trustee and the investment advisor with all investment authority.
F4 Held by Bald Eagle IV LLC. The Reporting Person is a member of Bald Eagle IV LLC. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of all securities held by Bald Eagle IV LLC in which the Reporting Person has no pecuniary interest.
F5 Represents a pro-rata in kind distribution of the Class A common stock held by Bald Eagle IV LLC to the Reporting Person.