GREGORY R. BLATT - 16 Nov 2021 Form 4 Insider Report for Vaxxinity, Inc.

Role
Director
Signature
/s/ Rene Paula, attorney-in-fact for Gregory R. Blatt
Issuer symbol
VAXX on OTC
Transactions as of
16 Nov 2021
Net transactions value
$0
Form type
4
Filing time
18 Nov 2021, 17:00:38 UTC
Previous filing
15 Nov 2021
Next filing
23 Jun 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VAXX Class A common stock Other $0 -76,923 -100% $0.000000* 0 16 Nov 2021 Held by Bald Eagle IV LLC F4
transaction VAXX Class A common stock Other $0 +76,923 $0.000000 76,923 16 Nov 2021 Direct F5
holding VAXX Class A common stock 622,516 16 Nov 2021 Held by Blatt Family Investments LLC F1
holding VAXX Class A common stock 53,553 16 Nov 2021 Held by The Gregory R. Blatt 2020 Annuity Trust IX F2
holding VAXX Class A common stock 160,668 16 Nov 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.