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<div id="a1" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:312px;top:49px;">UNITED STATES</div><div id="a3" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:150px;top:76px;">SECURITIES AND EXCHANGE COMMISSION </div><div id="a6" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:339px;top:122px;">Washington, D.C. 20549 </div><div id="a8" style="position:absolute;font-family:'Times New Roman';left:288px;top:137px;">______________________________ </div><div id="a10" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:349px;top:156px;">FORM </div><div id="a10_5_3" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:429px;top:156px;"><ix:nonNumeric id="ID_0" name="dei:DocumentType" contextRef="FROM_Mar17_2022_TO_Mar17_2022_Entity_0001851657">8-K</ix:nonNumeric></div><div id="a14" 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<div id="a230" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:48px;">Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain </div><div id="a232" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:67px;">Officers; Compensatory Arrangements of Certain Officers.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a235" style="position:absolute;font-family:'Times New Roman';font-style:italic;left:48px;top:101px;">Increase in Board Size; Appointment of Director<div style="display:inline-block;width:2px">&#160;</div>;<div style="display:inline-block;width:4px">&#160;</div>Resignation of Officer </div><div id="a241" style="position:absolute;font-family:'Times New Roman';left:96px;top:136px;">On March 17, 2022, the Board of Directors (&#8220;Board&#8221;) of Vaxxinity,<div style="display:inline-block;width:7px">&#160;</div>Inc. (the &#8220;Company&#8221;) increased<div style="display:inline-block;width:4px">&#160;</div>the </div><div id="a252" style="position:absolute;font-family:'Times New Roman';left:48px;top:154px;">size of the Board from six members to seven and elected Peter Powchik as a member of the Board, effective </div><div id="a268" style="position:absolute;font-family:'Times New Roman';left:48px;top:172px;">March 31, 2022. On the same date, Mr. Powchik will retire as the Company&#8217;s<div style="display:inline-block;width:6px">&#160;</div>Executive Vice President, </div><div id="a274" style="position:absolute;font-family:'Times New Roman';left:48px;top:191px;">Research &amp; Development.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a276" style="position:absolute;font-family:'Times New Roman';left:96px;top:225px;">Mr. Powchik will receive customary compensation from the Company for serving as a non-employee </div><div id="a282" style="position:absolute;font-family:'Times New Roman';left:48px;top:244px;">director, in accordance with the Company&#8217;s<div style="display:inline-block;width:6px">&#160;</div>Non-Employee Director Compensation Policy as described in the </div><div id="a285" style="position:absolute;font-family:'Times New Roman';left:48px;top:262px;">Company&#8217;s Prospectus, filed with the U.S. Securities and Exchange Commission (the &#8220;SEC&#8221;) on November 12, </div><div id="a291" style="position:absolute;font-family:'Times New Roman';left:48px;top:280px;">2021 and incorporated by reference herein.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a296" style="position:absolute;font-family:'Times New Roman';left:96px;top:315px;">The Board has not appointed Mr. Powchik to any committees.<div style="display:inline-block;width:5px">&#160;</div></div><div id="a304" style="position:absolute;font-family:'Times New Roman';left:96px;top:349px;">Mr. Powchik is not a party to any transaction that would require disclosure under </div><div id="a308" style="position:absolute;font-family:'Times New Roman';left:48px;top:368px;">Item 404(a) of Regulation S-K. </div><div id="a318" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:402px;">Item 5.08. Shareholder Director Nominations.<div style="display:inline-block;width:5px">&#160;</div></div><div id="a326" style="position:absolute;font-family:'Times New Roman';left:96px;top:436px;">On March 17, 2022, the Board established the date of the Company&#8217;s 2022 Annual Meeting of </div><div id="a336" style="position:absolute;font-family:'Times New Roman';left:48px;top:455px;">Stockholders (the &#8220;2022 Annual Meeting&#8221;). The 2022 Annual Meeting will be held on June 21, 2022, at </div><div id="a343" style="position:absolute;font-family:'Times New Roman';left:48px;top:473px;">10:00 am EST, and the record date for the 2022 Annual Meeting will be April 22, 2022. The Company is </div><div id="a357" style="position:absolute;font-family:'Times New Roman';left:48px;top:492px;">holding the 2022 Annual Meeting as a virtual-only meeting, which will be conducted via live audio online </div><div id="a360" style="position:absolute;font-family:'Times New Roman';left:48px;top:510px;">webcast. </div><div id="a362" style="position:absolute;font-family:'Times New Roman';left:96px;top:544px;">Because the Company did not hold an annual meeting of stockholders the previous year, stockholders </div><div id="a366" style="position:absolute;font-family:'Times New Roman';left:48px;top:563px;">must submit any director nomination or other proposal that they wish to be considered for inclusion in the </div><div id="a372" style="position:absolute;font-family:'Times New Roman';left:48px;top:581px;">Company&#8217;s proxy materials for the 2022 Annual Meeting to the Company&#8217;s<div style="display:inline-block;width:6px">&#160;</div>Secretary at Vaxxinity,<div style="display:inline-block;width:7px">&#160;</div>Inc., 1717 </div><div id="a377" style="position:absolute;font-family:'Times New Roman';left:48px;top:600px;">Main St., Ste. 338, Dallas Texas 75201, Attn: Corporate Secretary,<div style="display:inline-block;width:6px">&#160;</div>before 5:00 pm EST on April 5, 2022, which </div><div id="a380" style="position:absolute;font-family:'Times New Roman';left:48px;top:618px;">date the Company has determined to be a reasonable time before it expects to begin to print and distribute its </div><div id="a383" style="position:absolute;font-family:'Times New Roman';left:48px;top:636px;">proxy materials.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a385" style="position:absolute;font-family:'Times New Roman';left:96px;top:671px;">In addition to timely submission on or before April 5, 2022, stockholders who desire to include director </div><div id="a388" style="position:absolute;font-family:'Times New Roman';left:48px;top:689px;">nominations and other proposals in the Company&#8217;s proxy materials for the 2022 Annual Meeting must also </div><div id="a393" style="position:absolute;font-family:'Times New Roman';left:48px;top:708px;">comply with all applicable SEC rules, including Rule 14a-8, the Delaware General Corporation Law, and the </div><div id="a401" style="position:absolute;font-family:'Times New Roman';left:48px;top:726px;">Company&#8217;s Amended and Restated Bylaws. </div><div id="a404" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:760px;">Item 7.01. Regulation FD Disclosure.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a410" style="position:absolute;font-family:'Times New Roman';left:96px;top:795px;">The Company issued a press release on March 21, 2022 announcing the appointment of Peter Powchik </div><div id="a416" style="position:absolute;font-family:'Times New Roman';left:48px;top:813px;">as a member of the Board. A copy of the press release is furnished as Exhibit 99.1 to this report.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a418" style="position:absolute;font-family:'Times New Roman';left:96px;top:848px;">The information in this Item 7.01 and Exhibit 99.1 attached hereto is intended to be furnished and shall </div><div id="a419" style="position:absolute;font-family:'Times New Roman';left:48px;top:866px;">not be deemed &#8220;filed&#8221; for purposes of Section 18 of the Securities Exchange Act of 1934 (the &#8220;Exchange Act&#8221;) </div><div id="a422" style="position:absolute;font-family:'Times New Roman';left:48px;top:884px;">or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any </div><div id="a423" style="position:absolute;font-family:'Times New Roman';left:48px;top:903px;">filing under the Securities Act of 1933, or the Exchange Act, except as shall be expressly set forth by specific </div><div id="a426" style="position:absolute;font-family:'Times New Roman';left:48px;top:921px;">reference in such filing.<div style="display:inline-block;width:8px">&#160;</div></div></div>
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<div id="a430" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:48px;">Item 9.01. Financial Statements and Exhibits.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a432" style="position:absolute;font-family:'Times New Roman';left:96px;top:83px;">(d) Exhibits </div><div id="a434" style="position:absolute;font-family:'Times New Roman';font-size:14.72px;font-weight:bold;left:48px;top:117px;">Exhibit No.<div style="display:inline-block;width:37px">&#160;</div>Description </div><div id="a440" style="position:absolute;font-family:'Times New Roman';color:#0000FF;left:48px;top:150px;"><a href="exhibit991.htm" style="color:#0000FF;text-decoration:underline;">99.1</a></div><div id="a442" style="position:absolute;font-family:'Times New Roman';color:#0000FF;left:158px;top:150px;"><a href="exhibit991.htm" style="color:#0000FF;text-decoration:underline;">Press Release issued by Vaxxinity,<span style="display:inline-block;width:7px;text-decoration:underline">&#160;</span>Inc. on March 21, 2022</a></div><div id="a444" style="position:absolute;font-family:'Times New Roman';left:48px;top:184px;">104 </div><div id="a446" style="position:absolute;font-family:'Times New Roman';left:158px;top:184px;">Cover Page Interactive Data File (embedded within the Inline XBRL document). </div><div id="a448" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:408px;top:219px;"><div style="display:inline-block;width:192px">&#160;</div></div></div>
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<div id="a451" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:356px;top:48px;">SIGNATURES </div><div id="a453" style="position:absolute;font-family:'Times New Roman';left:96px;top:83px;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this </div><div id="a454" style="position:absolute;font-family:'Times New Roman';left:48px;top:101px;">report to be signed on its behalf by the undersigned hereunto duly authorized. </div><div id="a456" style="position:absolute;font-family:'Times New Roman';left:384px;top:136px;">Vaxxinity,<div style="display:inline-block;width:7px">&#160;</div>Inc.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a465" style="position:absolute;font-family:'Times New Roman';left:473px;top:236px;">By: </div><div id="a467" style="position:absolute;font-family:'Times New Roman';left:517px;top:236px;">/s/ Ren&#233; Paula </div><div id="a474" style="position:absolute;font-family:'Times New Roman';left:510px;top:255px;">Name: </div><div id="a476" style="position:absolute;font-family:'Times New Roman';left:570px;top:255px;">Ren&#233; Paula </div><div id="a482" style="position:absolute;font-family:'Times New Roman';left:510px;top:273px;">Title: </div><div id="a484" style="position:absolute;font-family:'Times New Roman';left:570px;top:273px;">General Counsel and </div><div id="a485" style="position:absolute;font-family:'Times New Roman';left:570px;top:292px;">Secretary </div><div id="a458" style="position:absolute;font-family:'Times New Roman';left:48px;top:168px;">Date: March 21, 2022 </div></div>
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{"company-data": {"conformed-name": "Vaxxinity, Inc.", "cik": "0001851657", "assigned-sic": "2834", "irs-number": "862083865", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-41058", "film-number": "22756592"}, "business-address": {"street1": "1717 MAIN STREET", "street2": "SUITE 3388", "city": "DALLAS", "state": "TX", "zip": "75201", "phone": "(254) 244-5739"}, "mail-address": {"street1": "1717 MAIN STREET", "street2": "SUITE 3388", "city": "DALLAS", "state": "TX", "zip": "75201"}}
20220317_8k
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
______________________________
FORM
8-K
____________________________________
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):
March 17, 2022
____________________________________
Vaxxinity, Inc.
(Exact name of registrant as specified in its charter)
____________________________________
Delaware
333-261063
86-2083865
(State or other jurisdiction
(Commission
(IRS Employer
of incorporation)
File Number)
Identification No.)
1717 Main St
,
Ste 338
Dallas
,
TX
,
75201
(Address of principal executive offices) (Zip Code)
Registrant's telephone number,
including area code: (
254
)
244-5739
Not applicable
(Former name or former address, if changed since last report)
____________________________________
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:
☐
Written communications pursuant to Rule 425
under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading
Symbol(s)
Name of each exchange
on which registered
Class A Common Stock, par value $0.0001
per share
VAXX
The
Nasdaq
Global Market
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933
(§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of
1934 (§240.12b-2 of this chapter).
Emerging growth company
☒
If an emerging growth company,
indicate by check mark if the registrant has elected not to use the extended transition period
for
complying with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange Act.
☐
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain
Officers; Compensatory Arrangements of Certain Officers.
Increase in Board Size; Appointment of Director
;
Resignation of Officer
On March 17, 2022, the Board of Directors ("Board") of Vaxxinity,
Inc. (the "Company") increased
the
size of the Board from six members to seven and elected Peter Powchik as a member of the Board, effective
March 31, 2022. On the same date, Mr. Powchik will retire as the Company's
Executive Vice President,
Research & Development.
Mr. Powchik will receive customary compensation from the Company for serving as a non-employee
director, in accordance with the Company's
Non-Employee Director Compensation Policy as described in the
Company's Prospectus, filed with the U.S. Securities and Exchange Commission (the "SEC") on November 12,
2021 and incorporated by reference herein.
The Board has not appointed Mr. Powchik to any committees.
Mr. Powchik is not a party to any transaction that would require disclosure under
Item 404(a) of Regulation S-K.
Item 5.08. Shareholder Director Nominations.
On March 17, 2022, the Board established the date of the Company's 2022 Annual Meeting of
Stockholders (the "2022 Annual Meeting"). The 2022 Annual Meeting will be held on June 21, 2022, at
10:00 am EST, and the record date for the 2022 Annual Meeting will be April 22, 2022. The Company is
holding the 2022 Annual Meeting as a virtual-only meeting, which will be conducted via live audio online
webcast.
Because the Company did not hold an annual meeting of stockholders the previous year, stockholders
must submit any director nomination or other proposal that they wish to be considered for inclusion in the
Company's proxy materials for the 2022 Annual Meeting to the Company's
Secretary at Vaxxinity,
Inc., 1717
Main St., Ste. 338, Dallas Texas 75201, Attn: Corporate Secretary,
before 5:00 pm EST on April 5, 2022, which
date the Company has determined to be a reasonable time before it expects to begin to print and distribute its
proxy materials.
In addition to timely submission on or before April 5, 2022, stockholders who desire to include director
nominations and other proposals in the Company's proxy materials for the 2022 Annual Meeting must also
comply with all applicable SEC rules, including Rule 14a-8, the Delaware General Corporation Law, and the
Company's Amended and Restated Bylaws.
Item 7.01. Regulation FD Disclosure.
The Company issued a press release on March 21, 2022 announcing the appointment of Peter Powchik
as a member of the Board. A copy of the press release is furnished as Exhibit 99.1 to this report.
The information in this Item 7.01 and Exhibit 99.1 attached hereto is intended to be furnished and shall
not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934 (the "Exchange Act")
or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any
filing under the Securities Act of 1933, or the Exchange Act, except as shall be expressly set forth by specific
reference in such filing.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit No.
Description
99.1
Press Release issued by Vaxxinity,
Inc. on March 21, 2022
104
Cover Page Interactive Data File (embedded within the Inline XBRL document).
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this
report to be signed on its behalf by the undersigned hereunto duly authorized.
Vaxxinity,
Inc.
By:
/s/ René Paula
Name:
René Paula
Title:
General Counsel and
Secretary
Date: March 21, 2022