James Chui - Jun 21, 2022 Form 4 Insider Report for Vaxxinity, Inc. (VAXX)

Role: Director
Signature: /s/ Rene Paula Molina, attorney-in-fact for James Chui
Stock symbol: VAXX
Transactions as of: Jun 21, 2022
Transactions value $: $0
Form type: 4
Date filed: 6/23/2022, 07:59 PM
Previous filing: Jan 6, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	VAXX	Class A common stock						14K	Jun 21, 2022	Direct

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	Stock option (right to buy)	Award	$0	+129K		$0.00	129K	Jun 21, 2022	Class A common stock	129K	$2.09	Direct	F1, F2, F3
holding	VAXX	Stock option (right to buy)						465K	Jun 21, 2022	Class A common stock	465K	$4.12	Direct

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

Explanation of Responses:

Id	Content
F1	These options were automatically granted following the Issuer's annual shareholders meeting pursuant to a policy adopted by the Issuer's board of directors providing for annual non-employee director compensation.
F2	These options vest on the earliest of (i) the one-year anniversary of the grant date, (ii) the following year's annual stockholder meeting, and (iii) a Change in Control (as defined in the Vaxxinity, Inc. 2021 Omnibus Incentive Compensation Plan), in each case, subject to the Reporting Person's continued service with the issuer through the vesting date.
F3	These stock options shall expire upon the earlier of (i) the tenth anniversary of the grant date, and (ii) three months after the date the Reporting Person ceases to be a director, officer, employee or consultant of the Issuer or one of its affiliates.