0000899243-23-010755.txt : 20230405 0000899243-23-010755.hdr.sgml : 20230405 20230405164809 ACCESSION NUMBER: 0000899243-23-010755 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230307 FILED AS OF DATE: 20230405 DATE AS OF CHANGE: 20230405 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: 23803201 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: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 505 ODYSSEY WAY CITY: EXPLORATION PARK STATE: FL ZIP: 32953 BUSINESS PHONE: (254) 244-5739 MAIL ADDRESS: STREET 1: 505 ODYSSEY WAY CITY: EXPLORATION PARK STATE: FL ZIP: 32953 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-03-07 0 0001851657 Vaxxinity, Inc. VAXX 0001890674 Reese Lou C/O VAXXINITY, INC. 505 ODYSSEY WAY MERRITT ISLAND FL 32953 1 1 0 0 See Remarks 0 Stock Option (right to buy) 2.29 2023-03-07 4 A 0 620000 0.00 A 2033-03-07 Class A Common Stock 620000 620000 D Stock Option (right to buy) 2.29 2023-03-07 4 A 0 61607 0.00 A 2033-03-07 Class A Common Stock 61607 61607 D Stock Option (right to buy) 2.29 2023-03-07 4 A 0 301188 0.00 A 2033-03-07 Class A Common Stock 301188 301188 D The options were issued to the Reporting Person pursuant to the Issuer's 2021 Omnibus Incentive Compensation Plan. Such options vest in 48 equal monthly installments beginning on March 7, 2023. The options were issued to the Reporting Person pursuant to the Issuer's 2021 Omnibus Incentive Compensation Plan. Such options are fully vested upon issuance. This one-time option grant was made in lieu of an annual cash bonus payment to Mr. Reese. The options were issued to the Reporting Person pursuant to the Issuer's 2021 Omnibus Incentive Compensation Plan. Such options vest in 12 equal monthly installments beginning on January 1, 2023. The one-time option grant was made in consideration of Mr. Reese waiving his salary for fiscal years 2022 and 2023. Executive Chairman. /s/ Rene Paula Molina as Attorney-in-Fact for Lou Reese 2023-04-05