Reese Lou's Form 4 filing
Vaxxinity, Inc. (VAXX) · filed Nov 15, 2021
- Accession no.
- 0000899243-21-044644
- 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 |
|---|---|
| Reese LouCIK 0001890674 | Director, Officer (Executive Chairman) |
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 | Duplicate filing |
| Nov 15, 2021 | Class A common stock | CConversionAcquired | +247,050 | –F1 | – | 51,585,416 | Indirect | Duplicate filing |
| Nov 15, 2021 | Class A common stock | CConversionAcquired | +4,212,495 | –F1 | – | 4,212,495 | Indirect | Duplicate filing |
| Nov 12, 2021 | Class A common stock | PPurchaseAcquired | +17,500 | $13.82F5 | +$241,850 | 17,500 | Direct | Duplicate filing |
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 | Duplicate filing |
| Nov 15, 2021 | Class A common stock | CConversionDisposed | −247,050 | –F1 | – | 0 | Indirect | Duplicate filing |
| Nov 15, 2021 | Class A common stock | CConversionDisposed | −4,212,495 | –F1 | – | 0 | Indirect | Duplicate filing |
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.