REESE LOU

PrivateCIK: 1890674

Location

DALLAS, TX

REESE LOU enters VAXXINITY, INC. with 60.81M shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Indirect Derivatives

REESE LOU

Filed: 11/10/2021ACC: 0000899243-21-043970

InsiderREESE LOUCIK 1890674

→

IssuerVAXXINITY, INC.CIK 1851657

DirectorOfficer· Executive Chairman

Since Nov 2021

60.81M

Baseline shares

7% direct

3.96M

Direct ownership

1 position

10.30M

Derivative underlying

9 instruments

3

Security positions

56.86M indirect

Non-Derivative Holdings3

Class A common stock

Indirect

Shares owned51.34M

Class B common stock

Indirect

Shares owned5.52M

Class B common stock

Direct

Shares owned3.96M

Total

3.96M direct·56.86M indirect60.81M

Security Title	Shares Owned	Ownership Type
Class A common stock	51.34M	Indirect
Class B common stock	5.52M	Indirect
Class B common stock	3.96M	Direct
Total	60.81M	3.96M direct·56.86M indirect

Derivative Holdings9

Stock option (right to buy)

Indirect

Underlying security

Class B common stock

Underlying shares

378.79K

Shares owned

N/A

Exercise price

10.0673

Expiration

—

Exercise window

—

Stock option (right to buy)

Indirect

Underlying security

Class A common stock

Underlying shares

1.59M

Shares owned

N/A

Exercise price

0.284

Expiration

—

Exercise window

—

Series A preferred stock

Indirect

Underlying security

Class A common stock

Underlying shares

N/A

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Warrant

Indirect

Underlying security

Class A common stock

Underlying shares

N/A

Shares owned

N/A

Exercise price

12.45

Expiration

—

Exercise window

—

Stock option (right to buy)

Direct

Underlying security

Class B common stock

Underlying shares

2.99M

Shares owned

N/A

Exercise price

10.0673

Expiration

—

Exercise window

—

Series A preferred stock

Indirect

Underlying security

Class A common stock

Underlying shares

N/A

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Stock option (right to buy)

Direct

Underlying security

Class A common stock

Underlying shares

2.35M

Shares owned

N/A

Exercise price

0.284

Expiration

—

Exercise window

—

Stock option (right to buy)

Indirect

Underlying security

Class B common stock

Underlying shares

2.99M

Shares owned

N/A

Exercise price

10.0673

Expiration

—

Exercise window

—

Series A preferred stock

Indirect

Underlying security

Class A common stock

Underlying shares

N/A

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

10.30M

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock option (right to buy) Indirect	Class B common stock	10.0673	—	—	378.79K	N/A
Stock option (right to buy) Indirect	Class A common stock	0.284	—	—	1.59M	N/A
Series A preferred stock Indirect	Class A common stock		—	—	N/A	N/A
Warrant Indirect	Class A common stock	12.45	—	—	N/A	N/A
Stock option (right to buy) Direct	Class B common stock	10.0673	—	—	2.99M	N/A
Series A preferred stock Indirect	Class A common stock		—	—	N/A	N/A
Stock option (right to buy) Direct	Class A common stock	0.284	—	—	2.35M	N/A
Stock option (right to buy) Indirect	Class B common stock	10.0673	—	—	2.99M	N/A
Series A preferred stock Indirect	Class A common stock		—	—	N/A	N/A
Total					10.30M	0.00

REESE LOU — Initial Ownership Disclosure (Form 3) Filed Nov 10, 2021 | Finecho