Hu Mei Mei's Form 4 filing
Vaxxinity, Inc. (VAXX) · filed Nov 15, 2021
- Accession no.
- 0000899243-21-044643
- Filed
- Nov 15, 2021
- Trade date
- Nov 12-15, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market purchases total $241.8K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Hu Mei MeiCIK 0001890585 | Director, Officer (See Remarks), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2021 | Class A common stock | CConversionAcquired | +271,655 | –F1 | – | 271,655 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionAcquired | +247,050 | –F1 | – | 51,585,416 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionAcquired | +4,212,495 | –F1 | – | 4,212,495 | Indirect | |
| Nov 12, 2021 | Class A common stock | PPurchaseAcquired | +17,500 | $13.82F5 | +$241,850 | 17,500 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2021 | Class A common stock | CConversionDisposed | −271,655 | –F1 | – | 0 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionDisposed | −247,050 | –F1 | – | 0 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionDisposed | −4,212,495 | –F1 | – | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 3 transactions in Table I and 3 transactions in Table II.
- F5
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.56 to $13.95, inclusive.
Referenced by the price of 1 transaction in Table I.
Remarks
Chief Executive Officer and President. The Reporting Person, Louis Reese, Blackfoot and UBI have entered into a voting agreement providing the Reporting Person with the authority (and irrevocable proxies) to vote the shares of capital stock held by such stockholders at the Reporting Persons' discretion on all matters to be voted upon by stockholders of Vaxxinty, Inc. 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 such stockholders in which the Reporting Person has no pecuniary interest.