0001123292-21-001446.txt : 20211115 0001123292-21-001446.hdr.sgml : 20211115 20211115162442 ACCESSION NUMBER: 0001123292-21-001446 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211115 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Prime Movers Lab Fund I LP CENTRAL INDEX KEY: 0001751631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41058 FILM NUMBER: 211411102 BUSINESS ADDRESS: STREET 1: PO BOX 12829 CITY: JACKSON STATE: WY ZIP: 83002 BUSINESS PHONE: 3072035036 MAIL ADDRESS: STREET 1: PO BOX 12829 CITY: JACKSON STATE: WY ZIP: 83002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sloss Dakin CENTRAL INDEX KEY: 0001875411 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41058 FILM NUMBER: 211411101 MAIL ADDRESS: STREET 1: 126 E 56TH ST, 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vaxxinity, Inc. CENTRAL INDEX KEY: 0001851657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 862083865 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1717 MAIN STREET STREET 2: SUITE 3388 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (254) 244-5739 MAIL ADDRESS: STREET 1: 1717 MAIN STREET STREET 2: SUITE 3388 CITY: DALLAS STATE: TX ZIP: 75201 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2021-11-15 0001851657 Vaxxinity, Inc. VAXX 0001751631 Prime Movers Lab Fund I LP P.O. BOX 12829 JACKSON WY 83002 0 0 1 0 0001875411 Sloss Dakin C/O PRIME MOVERS LAB FUND I LP P.O. BOX 12829 JACKSON WY 83002 0 0 1 0 Class A common stock 2021-11-15 4 C 0 2294473 A 2294473 I Held by COVAXX PML SPV 1 LP Class A common stock 2021-11-15 4 C 0 861857 A 861857 I Held by COVAXX PML SPV 2 LP Class A common stock 2021-11-15 4 C 0 1517754 A 1517754 I Held by COVAXX PML SPV 3 LP Class A common stock 2021-11-15 4 C 0 3615038 A 3615038 I Held by Prime Movers Growth Fund 1 LP Class A common stock 2021-11-15 4 C 0 9738192 A 9738192 D Series A preferred stock 2021-11-15 4 C 0 3570201 D Class A common stock 2294473 0 I Held by COVAXX PML SPV 1 LP Series A preferred stock 2021-11-15 4 C 0 1341050 D Class A common stock 861857 0 I Held by COVAXX PML SPV 2 LP Series A preferred stock 2021-11-15 4 C 0 2361626 D Class A common stock 1517754 0 I Held by COVAXX PML SPV 3 LP Series B preferred stock 2021-11-15 4 C 0 5625000 D Class A common stock 3615038 0 I Held by Prime Movers Growth Fund 1 LP Series A preferred stock 2021-11-15 4 C 0 15152627 D Class A common stock 9738192 0 D 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. Held by COVAXX PML SPV 1 LP ("PML SPV 1"). Prime Movers Lab GP I LLC ("PML GP I") is the general partner of Prime Movers Lab Fund I LP ("PML") and PML SPV 1. Held by COVAXX PML SPV 2 LP ("PML SPV 2"). Prime Movers Lab GP II LLC ("PML GP II") is the general partner of PML SPV 2. Held by COVAXX PML SPV 3 LP ("PML SPV 3"). PML GP II is the general partner of PML SPV 3. Held by Prime Movers Growth Fund 1 LP ("PMG"). Prime Movers Growth GP I LLC ("PMG GP") is the general partner of PMG. Held by PML. PML GP I is the general partner of PML. Dakin Sloss is the manager of PML GP I, PML GP II and PMG GP, and may be deemed to beneficially own the securities held by PML, PMG, PML SPV 1, PML SPV 2 and PML SPV 3. Mr. Sloss disclaims any beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein. Prime Movers Lab Fund I LP /s/ Jon Layman, Authorized Person 2021-11-15 Dakin Sloss /s/ Jon Layman, Attorney-in-fact 2021-11-15