0000899243-22-023411.txt : 20220621
0000899243-22-023411.hdr.sgml : 20220621
20220621165701
ACCESSION NUMBER: 0000899243-22-023411
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220616
FILED AS OF DATE: 20220621
DATE AS OF CHANGE: 20220621
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Reese Lou
CENTRAL INDEX KEY: 0001890674
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41058
FILM NUMBER: 221028803
MAIL ADDRESS:
STREET 1: C/O VAXXINITY, INC.
STREET 2: 1717 MAIN ST STE. 3388
CITY: DALLAS
STATE: TX
ZIP: 75201
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-06-16
0
0001851657
Vaxxinity, Inc.
VAXX
0001890674
Reese Lou
C/O VAXXINITY, INC
1717 MAIN ST, STE 3388
DALLAS
TX
75201
1
1
1
0
Executive Chairman
Class A common stock
271655
I
Held by Blackfoot Healthcare Ventures LLC
Class A common stock
2022-06-16
4
P
0
100000
1.9929
A
51737344
I
Held by United Biomedical Inc.
Class A common stock
4212495
I
Held by United Biomedical Inc., Asia
Class A common stock
17500
D
Class B common stock
3955512
D
Class B common stock
5518961
I
Held by spouse
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.
The price reported is a weighted average price.
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.
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.
Class B common stock is convertible to Class A common stock on a one-for-one basis and has no expiration date.
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.
/s/ Lou Reese
2022-06-21