Blatt Gregory R's Form 4 filing
Vaxxinity, Inc. (VAXX) · filed Nov 15, 2021
- Accession no.
- 0000899243-21-044651
- Filed
- Nov 15, 2021
- Trade date
- Nov 15, 2021
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. It was filed on the trade date.
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 |
|---|---|
| Blatt Gregory RCIK 0001206793 | Director |
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 | +622,516 | –F1 | – | 622,516 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionAcquired | +53,553 | –F1 | – | 53,553 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionAcquired | +160,668 | –F1 | – | 160,668 | Indirect | |
| Nov 15, 2021 | Class A common stock | PPurchaseAcquired | +76,923 | $0.00 | $0 | 76,923 | 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 | −622,516 | –F1 | – | 0 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionDisposed | −53,553 | –F1 | – | 0 | Indirect | |
| Nov 15, 2021 | Class A common stock | CConversionDisposed | −160,668 | –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.