| 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 | Held by spouse | F6 | |||||
| holding | VAXX | Class B common stock | 5.52M | Apr 25, 2022 | Direct | F7 | |||||
| holding | VAXX | Class B common stock | 3.96M | Apr 25, 2022 | Held by spouse | F6, F7 |
| 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"). The Reporting Person, Louis Reese, 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. The Reporting Person, Louis Reese, 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 | These securities are held by Louis Reese, 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. |
| F7 | Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date. |
Chief Executive Officer and President. The Reporting Person, Louis Reese, Blackfoot and UBI have entered into a voting agreement providing the Reporting Person with the authority (and irrevocable proxies) to vote the shares of capital stock held by such stockholders at the Reporting Persons' discretion on all matters to be voted upon by stockholders of Vaxxinty, Inc. 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 such stockholders in which the Reporting Person has no pecuniary interest.