Peter Diamandis - Nov 15, 2021 Form 4/A - Amendment Insider Report for Vaxxinity, Inc. (VAXX)

Role: Director
Signature: /s/ Rene Paula Molina, attorney-in-fact for Peter Diamandis
Stock symbol: VAXX
Transactions as of: Nov 15, 2021
Transactions value $: $0
Form type: 4/A - Amendment
Date filed: 6/23/2022, 07:44 PM
Date Of Original Report: Nov 15, 2021
Previous filing: Jun 23, 2022
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	Conversion of derivative security		+13.8K			13.8K	Nov 15, 2021	Direct	F1, F2
transaction	VAXX	Class A common stock	Conversion of derivative security		+13.8K			13.8K	Nov 15, 2021	Held by spouse	F2, F3, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	VAXX	Series A preferred stock	Conversion of derivative security		-21.5K	-100%		0	Nov 15, 2021	Class A common stock	13.8K		Direct	F1, F2

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

Explanation of Responses:

Id	Content
F1	The Reporting Person unintentionally omitted this transaction from the Form 4 filed on November 15, 2021.
F2	Shares of preferred stock automatically converted into shares of Class A common stock upon closing of the Issuer's initial public offering based on a conversion rate of approximately 0.643 shares of Class A common stock for each share of preferred stock.
F3	The Reporting Person incorrectly reported that 271,655 shares of Class A common stock were acquired by the Reporting Person's spouse upon the conversion of Series A preferred stock. Instead, 13,824 shares of Class A common stock were acquired by the Reporting Person's spouse upon the conversion of Series A preferred stock.
F4	These securities are held by Kristin Diamandis, 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 Kristin Diamandis in which the Reporting Person has no pecuniary interest.