4//SEC Filing
BLATT GREGORY R 4
Accession 0000899243-21-044651
CIK 0001851657other
Filed
Nov 14, 7:00 PM ET
Accepted
Nov 15, 6:53 PM ET
Size
19.3 KB
Accession
0000899243-21-044651
Insider Transaction Report
Form 4
Vaxxinity, Inc.VAXX
BLATT GREGORY R
Director
Transactions
- Conversion
Series A preferred stock
2021-11-15−968,636→ 0 total(indirect: By LLC)→ Class A common stock (622,516 underlying) - Conversion
Series A preferred stock
2021-11-15−83,329→ 0 total(indirect: By Trust)→ Class A common stock (53,553 underlying) - Conversion
Series B preferred stock
2021-11-15−250,000→ 0 total(indirect: By Trust)→ Class A common stock (160,668 underlying) - Conversion
Class A common stock
2021-11-15+622,516→ 622,516 total(indirect: By LLC) - Conversion
Class A common stock
2021-11-15+53,553→ 53,553 total(indirect: By Trust) - Conversion
Class A common stock
2021-11-15+160,668→ 160,668 total(indirect: By Trust) - Purchase
Class A common stock
2021-11-15+76,923→ 76,923 total(indirect: By LLC)
Footnotes (6)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]These securities are held by The Gregory R. Blatt 2020 Annuity Trust III. The Reporting Person is the sole trustee and the investment advisor with all investment authority.
- [F5]The Reporting Person beneficially owns 76,923 shares of Class A common stock purchased by Bald Eagle IV LLC.
- [F6]Held by Bald Eagle IV LLC. The Reporting Person is a member of Bald Eagle IV LLC. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of all securities held by Bald Eagle IV LLC in which the Reporting Person has no pecuniary interest.
Documents
Issuer
Vaxxinity, Inc.
CIK 0001851657
Entity typeother
Related Parties
1- filerCIK 0001206793
Filing Metadata
- Form type
- 4
- Filed
- Nov 14, 7:00 PM ET
- Accepted
- Nov 15, 6:53 PM ET
- Size
- 19.3 KB