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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-weight:bold;left:339px;top:122px;">Washington, D.C. 20549 </div><div id="a8" style="position:absolute;font-family:'Times New Roman';font-size:16px;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_Jul26_2023_TO_Jul26_2023_Entity_0001851657">8-K</ix:nonNumeric></div><div id="a15" 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<div id="a232" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:48px;">Item 4.01. Changes in Registrant&#8217;s Certifying<div style="display:inline-block;width:5px">&#160;</div>Accountant. </div><div id="a235" style="position:absolute;font-family:'Times New Roman';left:48px;top:79px;">On July 21, 2023, Vaxxinity,<div style="display:inline-block;width:6px">&#160;</div>Inc. 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The audit committee of the Company&#8217;s<div style="display:inline-block;width:5px">&#160;</div>board of directors accepted but did not request or recommend Armanino&#8217;s </div><div id="a243" style="position:absolute;font-family:'Times New Roman';left:48px;top:140px;">resignation. </div><div id="a246" style="position:absolute;font-family:'Times New Roman';left:48px;top:171px;">Armanino advised the Company that its decision was due to Armanino&#8217;s<div style="display:inline-block;width:6px">&#160;</div>transition away from providing financial statement audit </div><div id="a248" style="position:absolute;font-family:'Times New Roman';left:48px;top:186px;">services to public companies. </div><div id="a252" style="position:absolute;font-family:'Times New Roman';left:48px;top:217px;">Armanino&#8217;s audit reports on<div style="display:inline-block;width:5px">&#160;</div>the Company&#8217;s consolidated financial<div style="display:inline-block;width:5px">&#160;</div>statements for the years ended December 31, 2022 and 2021 do not </div><div id="a255" style="position:absolute;font-family:'Times New Roman';left:48px;top:232px;">contain any adverse opinion or disclaimer of opinion and were not qualified<div style="display:inline-block;width:5px">&#160;</div>or modified as to uncertainty, audit scope,<div style="display:inline-block;width:5px">&#160;</div>or accounting </div><div id="a257" style="position:absolute;font-family:'Times New Roman';left:48px;top:248px;">principles. During the two most recent fiscal years and the subsequent interim period,<div style="display:inline-block;width:5px">&#160;</div>there were no (i) disagreements with Armanino </div><div id="a259" style="position:absolute;font-family:'Times New Roman';left:48px;top:263px;">on any matter of accounting principles or practices, financial statement disclosure,<div style="display:inline-block;width:5px">&#160;</div>or auditing scope or procedure, which </div><div id="a261" style="position:absolute;font-family:'Times New Roman';left:48px;top:278px;">disagreements, if not resolved to the satisfaction of Armanino, would have<div style="display:inline-block;width:5px">&#160;</div>caused it to make reference to the subject matter of the </div><div id="a263" style="position:absolute;font-family:'Times New Roman';left:48px;top:294px;">disagreements in connection with its report or (ii) &#8220;reportable events&#8221; as such<div style="display:inline-block;width:5px">&#160;</div>term is defined in Item 304(a)(1)(v) of Regulation S-K. </div><div id="a269" style="position:absolute;font-family:'Times New Roman';left:48px;top:324px;">The Company provided Armanino with a copy of the disclosures contained<div style="display:inline-block;width:5px">&#160;</div>in this Current Report on Form 8-K and requested that </div><div id="a272" style="position:absolute;font-family:'Times New Roman';left:48px;top:340px;">Armanino furnish a letter addressed to the U.S. Securities and Exchange<div style="display:inline-block;width:5px">&#160;</div>Commission stating whether or not it agrees with the </div><div id="a274" style="position:absolute;font-family:'Times New Roman';left:48px;top:355px;">statements made in this Current Report on Form 8-K, a copy of which is attached<div style="display:inline-block;width:5px">&#160;</div>as Exhibit 16.1 hereto. </div><div id="a279" style="position:absolute;font-family:'Times New Roman';left:48px;top:386px;">The Company has begun a search process to identify a new independent registered<div style="display:inline-block;width:5px">&#160;</div>public accounting firm. There can be no assurance </div><div id="a281" style="position:absolute;font-family:'Times New Roman';left:48px;top:401px;">that we will be able to appoint a new independent registered public accounting<div style="display:inline-block;width:5px">&#160;</div>firm on a timely basis, which would result in our </div><div id="a283" style="position:absolute;font-family:'Times New Roman';left:48px;top:416px;">inability to file required Exchange Act reports, limit our ability to raise capital,<div style="display:inline-block;width:5px">&#160;</div>and result in a loss of investor confidence. </div><div id="a288" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:447px;">Item 5.02. Departure of Directors or Certain<div style="display:inline-block;width:5px">&#160;</div>Officers; Election of Directors; Appointment of Certain Officers;<div style="display:inline-block;width:5px">&#160;</div>Compensatory </div><div id="a289" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:462px;">Arrangements of Certain Officers. </div><div id="a292" style="position:absolute;font-family:'Times New Roman';left:48px;top:493px;">The information regarding Ulo Palm contained in Item 8.01 of this Current<div style="display:inline-block;width:5px">&#160;</div>Report on Form 8-K is incorporated by reference into this </div><div id="a296" style="position:absolute;font-family:'Times New Roman';left:48px;top:508px;">Item 5.02. </div><div id="a299" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:539px;">Item 8.01. Other Events. </div><div id="a302" style="position:absolute;font-family:'Times New Roman';left:48px;top:570px;">On July 27, 2023, the Company announced that Peter Powchik will join its leadership<div style="display:inline-block;width:5px">&#160;</div>team as Executive Vice President, Global </div><div id="a303" style="position:absolute;font-family:'Times New Roman';left:48px;top:585px;">Scientific Director, effective<div style="display:inline-block;width:5px">&#160;</div>October 1, 2023. He will remain as a member of the Company&#8217;s<div style="display:inline-block;width:5px">&#160;</div>board of directors. In addition, the </div><div id="a305" style="position:absolute;font-family:'Times New Roman';left:48px;top:600px;">Company announced that Ulo Palm</div><div id="a307" style="position:absolute;font-family:'Times New Roman';left:242px;top:600px;">will transition from the Company&#8217;s<div style="display:inline-block;width:5px">&#160;</div>Chief Medical Officer to senior advisor,<div style="display:inline-block;width:5px">&#160;</div>effective October 1, </div><div id="a308" style="position:absolute;font-family:'Times New Roman';left:48px;top:616px;">2023. </div><div id="a311" style="position:absolute;font-family:'Times New Roman';left:48px;top:646px;">In connection with the foregoing matters, the Company issued a press release,<div style="display:inline-block;width:5px">&#160;</div>a copy of which is attached as Exhibit 99.1 to this </div><div id="a313" style="position:absolute;font-family:'Times New Roman';left:48px;top:662px;">Current Report on Form 8-K. </div><div id="a318" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:692px;">Item 9.01. Financial Statements and Exhibits. </div><div id="a321" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:723px;">(d) Exhibits. </div><div id="a324" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:48px;top:754px;">Exhibit</div><div id="a326" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:85px;top:754px;">No.</div><div id="a328" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;left:108px;top:758px;"><div style="display:inline-block;width:5px">&#160;</div></div><div id="a330" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:116px;top:754px;">Description</div><div id="a332" style="position:absolute;font-family:'Times New Roman';color:#0000FF;left:48px;top:772px;"><a href="exhibit161.htm" style="color:#0000FF;text-decoration:underline;">16.1</a></div><div id="a334" style="position:absolute;font-family:'Times New Roman';left:108px;top:772px;"><div style="display:inline-block;width:7px">&#160;</div></div><div id="a336" style="position:absolute;font-family:'Times New Roman';color:#0000FF;left:116px;top:772px;"><a href="exhibit161.htm" style="color:#0000FF;text-decoration:underline;">Letter from Armanino LLP</a></div><div id="a338" style="position:absolute;font-family:'Times New Roman';color:#0000FF;left:48px;top:789px;"><a href="exhibit991.htm" style="color:#0000FF;text-decoration:underline;">99.1</a></div><div id="a341" style="position:absolute;font-family:'Times New Roman';color:#0000FF;left:116px;top:789px;"><a href="exhibit991.htm" style="color:#0000FF;text-decoration:underline;">Press Release</a></div><div id="a343" style="position:absolute;font-family:'Times New Roman';left:48px;top:807px;">104 </div><div id="a346" style="position:absolute;font-family:'Times New Roman';left:116px;top:807px;">Cover Page Interactive Data File (embedded within the Inline XBRL document) </div><div id="a349" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:365px;top:859px;">SIGNATURES </div><div id="a352" style="position:absolute;font-family:'Times New Roman';left:48px;top:890px;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has<div style="display:inline-block;width:5px">&#160;</div>duly caused this report to be signed on its </div><div id="a354" style="position:absolute;font-family:'Times New Roman';left:48px;top:905px;">behalf by the undersigned hereunto duly authorized. </div><div id="a360" style="position:absolute;font-family:'Times New Roman';left:48px;top:936px;">Date: July 27, 2023 </div></div>
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<div id="a367" style="position:absolute;font-family:'Times New Roman';left:466px;top:48px;">VAXXINITY,<div style="display:inline-block;width:7px">&#160;</div>INC. </div><div id="a369" style="position:absolute;font-family:'Times New Roman';left:466px;top:96px;">By: </div><div id="a371" style="position:absolute;font-family:'Times New Roman';left:508px;top:96px;">/s/ Jason Pesile </div><div id="a375" style="position:absolute;font-family:'Times New Roman';left:508px;top:112px;">Name:<div style="display:inline-block;width:13px">&#160;</div>Jason Pesile </div><div id="a380" style="position:absolute;font-family:'Times New Roman';left:508px;top:127px;">Title:<div style="display:inline-block;width:20px">&#160;</div>Senior Vice President, Finance &amp; </div><div id="a383" style="position:absolute;font-family:'Times New Roman';left:556px;top:142px;">Accounting </div></div>
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{"company-data": {"conformed-name": "Vaxxinity, Inc.", "cik": "0001851657", "assigned-sic": "2834", "irs-number": "862083865", "state-of-incorporation": "FL", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-41058", "film-number": "231118369"}, "business-address": {"street1": "505 ODYSSEY WAY", "city": "EXPLORATION PARK", "state": "FL", "zip": "32953", "phone": "(254) 244-5739"}, "mail-address": {"street1": "505 ODYSSEY WAY", "city": "EXPLORATION PARK", "state": "FL", "zip": "32953"}}
20230726_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):
July 27, 2023
____________________________________
Vaxxinity, Inc.
(Exact name of registrant as specified in its charter)
____________________________________
Delaware
001-41058
86-2083865
(State or other jurisdiction
(Commission
(IRS Employer
of incorporation)
File Number)
Identification No.)
505 Odyssey Way
Merritt Island
,
FL
32953
(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 4.01. Changes in Registrant's Certifying
Accountant.
On July 21, 2023, Vaxxinity,
Inc. (the "Company") was informed by Armanino LLP ("Armanino") that it intends
to resign as the
Company's independent registered
public accounting firm, effective upon the earlier of (i) filing of
the Company's Quarterly Report
on Form 10-Q for the quarter ending September 30, 2023 and (ii) the Company's
appointment of a new independent registered public
accounting firm. The audit committee of the Company's
board of directors accepted but did not request or recommend Armanino's
resignation.
Armanino advised the Company that its decision was due to Armanino's
transition away from providing financial statement audit
services to public companies.
Armanino's audit reports on
the Company's consolidated financial
statements for the years ended December 31, 2022 and 2021 do not
contain any adverse opinion or disclaimer of opinion and were not qualified
or modified as to uncertainty, audit scope,
or accounting
principles. During the two most recent fiscal years and the subsequent interim period,
there were no (i) disagreements with Armanino
on any matter of accounting principles or practices, financial statement disclosure,
or auditing scope or procedure, which
disagreements, if not resolved to the satisfaction of Armanino, would have
caused it to make reference to the subject matter of the
disagreements in connection with its report or (ii) "reportable events" as such
term is defined in Item 304(a)(1)(v) of Regulation S-K.
The Company provided Armanino with a copy of the disclosures contained
in this Current Report on Form 8-K and requested that
Armanino furnish a letter addressed to the U.S. Securities and Exchange
Commission stating whether or not it agrees with the
statements made in this Current Report on Form 8-K, a copy of which is attached
as Exhibit 16.1 hereto.
The Company has begun a search process to identify a new independent registered
public accounting firm. There can be no assurance
that we will be able to appoint a new independent registered public accounting
firm on a timely basis, which would result in our
inability to file required Exchange Act reports, limit our ability to raise capital,
and result in a loss of investor confidence.
Item 5.02. Departure of Directors or Certain
Officers; Election of Directors; Appointment of Certain Officers;
Compensatory
Arrangements of Certain Officers.
The information regarding Ulo Palm contained in Item 8.01 of this Current
Report on Form 8-K is incorporated by reference into this
Item 5.02.
Item 8.01. Other Events.
On July 27, 2023, the Company announced that Peter Powchik will join its leadership
team as Executive Vice President, Global
Scientific Director, effective
October 1, 2023. He will remain as a member of the Company's
board of directors. In addition, the
Company announced that Ulo Palm
will transition from the Company's
Chief Medical Officer to senior advisor,
effective October 1,
2023.
In connection with the foregoing matters, the Company issued a press release,
a copy of which is attached as Exhibit 99.1 to this
Current Report on Form 8-K.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
Exhibit
No.
Description
16.1
Letter from Armanino LLP
99.1
Press Release
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.
Date: July 27, 2023
VAXXINITY,
INC.
By:
/s/ Jason Pesile
Name:
Jason Pesile
Title:
Senior Vice President, Finance &
Accounting