4//SEC Filing
Reese Lou 4
Accession 0000899243-22-023411
CIK 0001851657other
Filed
Jun 20, 8:00 PM ET
Accepted
Jun 21, 4:57 PM ET
Size
10.6 KB
Accession
0000899243-22-023411
Insider Transaction Report
Form 4
Vaxxinity, Inc.VAXX
Reese Lou
DirectorExecutive Chairman
Transactions
- Purchase
Class A common stock
2022-06-16$1.99/sh+100,000$199,290→ 51,737,344 total(indirect: Held by United Biomedical Inc.)
Holdings
- 5,518,961(indirect: By Spouse)
Class B common stock
- 271,655(indirect: By LLC)
Class A common stock
- 17,500
Class A common stock
- 4,212,495(indirect: Held by United Biomedical Inc., Asia)
Class A common stock
- 3,955,512
Class B common stock
Footnotes (6)
- [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 price reported is a weighted average price.
- [F3]These securities are held by United Biomedical Inc. ("UBI"). Mei Mei Hu, the Reporting Person, 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.
- [F4]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. Mei Mei Hu, the Reporting Person, 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]Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date.
- [F6]These securities are held by Mei Mei Hu, 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.
Documents
Issuer
Vaxxinity, Inc.
CIK 0001851657
Entity typeother
Related Parties
1- filerCIK 0001890674
Filing Metadata
- Form type
- 4
- Filed
- Jun 20, 8:00 PM ET
- Accepted
- Jun 21, 4:57 PM ET
- Size
- 10.6 KB