Key facts
- This page summarizes Gregory R. Blatt's Form 4 filing for Vaxxinity, Inc..
- 1 reported transaction and 2 derivative rows are listed below.
- Accepted by SEC: 23 Jun 2022, 19:53.
Gregory R. Blatt - 21 Jun 2022 Form 4 Insider Report for Vaxxinity, Inc.
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 21 Jun 2022
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 23 Jun 2022, 19:53:41 UTC
- Prior SEC filing
- 18 Nov 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Rene Paula Molina, attorney-in-fact for Gregory R. Blatt
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Gregory R. Blatt filed Form 4 for Vaxxinity, Inc. on 23 Jun 2022.
Change
- Previous filing in this sequence was filed on 18 Nov 2021.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
VAXX
holding
Class A common stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 622,516
- Date
- 21 Jun 2022
- Ownership
- Held by Blatt Family Investments LLC
- Footnotes
- F1
VAXX
holding
Class A common stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 25,787
- Date
- 21 Jun 2022
- Ownership
- Held by The Gregory R. Blatt 2020 Annuity Trust IX
- Footnotes
- F2
VAXX
holding
Class A common stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 265,357
- Date
- 21 Jun 2022
- Ownership
- Direct
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
VAXX
transaction
Derivative
Stock option (right to buy)
Award
- Transaction value
- $0
- Shares
- +129,187
- Change %
- Price
- $0.000000
- Shares after
- 129,187
- Date
- 21 Jun 2022
- Ownership
- Direct
- Underlying class
- Class A common stock
- Underlying amount
- 129,187
- Exercise price
- $2.09
- Footnotes
- F3, F4, F5
VAXX
holding
Derivative
Stock option (right to buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 449,871
- Date
- 21 Jun 2022
- Ownership
- Direct
- Underlying class
- Class A common stock
- Underlying amount
- 449,871
- Exercise price
- $10.07
- Footnotes
- F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote 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.
Footnote 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.
Footnote F3
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.
Footnote F4
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.
Footnote F5
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.
Footnote F6
Represents 449,871 time-vesting options. These options are subject to a two-year vesting schedule, beginning on 7/28/2021, vesting in equal installments each month during the vesting period.