Lou Reese - Apr 25, 2022 Form 4 Insider Report for Vaxxinity, Inc. (VAXX)

Role: Executive Chairman, Director
Signature: /s/ Lou Reese
Stock symbol: VAXX
Transactions as of: Apr 25, 2022
Transactions value $: $27,073
Form type: 4
Date filed: 4/27/2022, 08:40 PM
Previous filing: Nov 15, 2021
Next filing: Apr 28, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	VAXX	Class A common stock	Purchase	$27.1K	+8.04K	+0.02%	$3.37	51.6M	Apr 25, 2022	Held by United Biomedical Inc.	F2, F3, F4
holding	VAXX	Class A common stock						272K	Apr 25, 2022	Held by Blackfoot Healthcare Ventures LLC	F1
holding	VAXX	Class A common stock						4.21M	Apr 25, 2022	Held by United Biomedical Inc., Asia	F5
holding	VAXX	Class A common stock						17.5K	Apr 25, 2022	Direct
holding	VAXX	Class B common stock						3.96M	Apr 25, 2022	Direct	F6
holding	VAXX	Class B common stock						5.52M	Apr 25, 2022	Held by spouse	F6, F7

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	These shares are held by Blackfoot Healthcare Ventures LLC ("Blackfoot"). The Reporting Person is one of two shareholders of Blackfoot and may therefore be deemed to beneficially own the securities held by Blackfoot. 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 Blackfoot in which the Reporting Person has no pecuniary interest.
F2	The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by United Biomedical Inc.
F3	The price reported is a weighted average price.
F4	These securities are held by United Biomedical Inc. ("UBI"). Mei Mei Hu, the Reporting Person, Nean Hu and Chang Yi Wang, together as a group, control more than 50% of the equity interests of UBI, and together share investment control of all shares held by UBI. 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 UBI in which the Reporting Person has no pecuniary interest.
F5	Held by United Biomedical, Asia Inc. ("UBIA"). UBI, through a subsidiary, holds a majority equity interest in UBIA and may be deemed to be the beneficial owner of the shares held by UBIA. Mei Mei Hu, the Reporting Person, Nean Hu and Chang Yi Wang, together as a group, control more than 50% of the equity interests of UBI, and together share investment control of all shares held by UBI. 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 UBI in which the Reporting Person has no pecuniary interest.
F6	Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date.
F7	These securities are held by Mei Mei Hu, 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 Louis Reese in which the Reporting Person has no pecuniary interest.