<?xml version="1.0" encoding="UTF-8"?>
<!--Inline XBRL document created by Certent CDM HD version: 22.2.0 -->
<html xmlns="http://www.w3.org/1999/xhtml" xmlns:xs="http://www.w3.org/2001/XMLSchema" xmlns:xbrli="http://www.xbrl.org/2003/instance" xmlns:link="http://www.xbrl.org/2003/linkbase" xmlns:xlink="http://www.w3.org/1999/xlink" xmlns:xl="http://www.xbrl.org/2003/XLink" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:xbrldt="http://xbrl.org/2005/xbrldt" xmlns:xbrldi="http://xbrl.org/2006/xbrldi" xmlns:iso4217="http://www.xbrl.org/2003/iso4217" xmlns:vaxx="http://www.vaxxinity.com/20230131" xmlns:dei="http://xbrl.sec.gov/dei/2021" xmlns:dtr-types="http://www.xbrl.org/dtr/type/2020-01-21" xmlns:utr="http://www.xbrl.org/2009/utr" xmlns:ixt-sec="http://www.sec.gov/inlineXBRL/transformation/2015-08-31" xmlns:ix="http://www.xbrl.org/2013/inlineXBRL" xmlns:ixt="http://www.xbrl.org/inlineXBRL/transformation/2015-02-26" version="-//XBRL International//DTD XHTML Inline XBRL 1.1//EN" xml:lang="en-US">
<head><title>20230130_8k</title>
<meta http-equiv="Content-Type" content="text/html;" />
</head>
<body style="background-color:RGB(230, 230, 230);font-family:Times New Roman;font-style:normal;font-size:16px;font-weight:normal;font-stretch:normal;color:#000000;">
<div style="display:none;">
<ix:header>
<ix:hidden>
<ix:nonNumeric id="ID_6" name="dei:EntityAddressAddressLine1" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">1717 Main St</ix:nonNumeric>
<ix:nonNumeric id="ID_7" name="dei:EntityAddressAddressLine2" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">Ste 3388</ix:nonNumeric>
<ix:nonNumeric id="ID_8" name="dei:EntityAddressCityOrTown" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">Dallas</ix:nonNumeric>
<ix:nonNumeric id="ID_9" name="dei:EntityAddressStateOrProvince" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">TX</ix:nonNumeric>
<ix:nonNumeric id="ID_10" name="dei:EntityAddressPostalZipCode" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">75201</ix:nonNumeric>
<ix:nonNumeric id="ID_22" name="dei:AmendmentFlag" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">false</ix:nonNumeric>
<ix:nonNumeric id="ID_23" name="dei:EntityCentralIndexKey" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">0001851657</ix:nonNumeric>
<ix:nonNumeric id="ID_20" name="dei:SecurityExchangeName" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">NASDAQ</ix:nonNumeric>
</ix:hidden>
<ix:references xml:lang="en-US"><link:schemaRef xlink:href="vaxx-20230131.xsd" xlink:type="simple" /></ix:references>
<ix:resources>

  <xbrli:context id="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">

    <xbrli:entity>

      <xbrli:identifier scheme="http://www.sec.gov/CIK">0001851657</xbrli:identifier>

    </xbrli:entity>

    <xbrli:period>

      <xbrli:startDate>2023-01-30</xbrli:startDate>

      <xbrli:endDate>2023-01-30</xbrli:endDate>

    </xbrli:period>

  </xbrli:context>
</ix:resources>
</ix:header>
</div>
<div id="fixed-layout-inline-document" style="display:none;"></div><div id="Doc1" style="background-color:RGB(230, 230, 230);line-height:normal;font-family:Times New Roman;font-size:16px;font-weight:400;">
<div style="padding: 7px">
<div id="Page1" style="background-color:RGB(255, 255, 255);position:relative;margin-left:auto;margin-right:auto;overflow:hidden;border-style:solid;border-width:thin;border-color:RGB(198, 198, 198);page-break-after:always;width:816px;height:1056px;">
<div style="position:absolute; width:244.9px; height:1.3px; left:48px; top:830.4px; background-color:#000000; ">&#160;</div>
<div style="position:absolute; width:230.4px; height:1.3px; left:300.1px; top:830.4px; background-color:#000000; ">&#160;</div>
<div style="position:absolute; width:230.4px; height:1.3px; left:537.7px; top:830.4px; background-color:#000000; ">&#160;</div>
<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_Jan30_2023_TO_Jan30_2023_Entity_0001851657">8-K</ix:nonNumeric></div><div id="a14" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:288px;top:183px;">____________________________________</div><div id="a16" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:333px;top:199px;">CURRENT REPORT</div><div id="a20" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:269px;top:232px;">PURSUANT TO SECTION 13 OR 15(d)<div style="display:inline-block;width:4px">&#160;</div></div><div id="a26" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:229px;top:251px;">OF THE SECURITIES EXCHANGE ACT OF 1934</div><div id="a30" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:95px;top:288px;">Date of Report (Date of earliest event reported):</div><div id="a38" style="position:absolute;font-family:'Times New Roman';font-size:1.28px;font-weight:bold;left:415px;top:304px;"><div style="display:inline-block;width:0px">&#160;</div></div><div id="a40" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:551px;top:288px;"><ix:nonNumeric id="ID_1" name="dei:DocumentPeriodEndDate" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt:datemonthdayyearen">January 30, 2023</ix:nonNumeric></div><div id="a42" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:288px;top:306px;">____________________________________</div><div id="a46" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:332px;top:337px;"><ix:nonNumeric id="ID_2" name="dei:EntityRegistrantName" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">Vaxxinity, Inc.</ix:nonNumeric></div><div id="a48" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:270px;top:364px;">(Exact name of registrant as specified in its charter)</div><div id="a50" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:288px;top:380px;">____________________________________</div><div id="a58" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:141px;top:410px;"><ix:nonNumeric id="ID_3" name="dei:EntityIncorporationStateCountryCode" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt-sec:stateprovnameen">Delaware</ix:nonNumeric></div><div id="a60" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:376px;top:410px;"><ix:nonNumeric id="ID_4" name="dei:EntityFileNumber" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">333-261063</ix:nonNumeric></div><div id="a65" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:616px;top:410px;"><ix:nonNumeric id="ID_5" name="dei:EntityTaxIdentificationNumber" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">86-2083865</ix:nonNumeric></div><div id="a69" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:98px;top:426px;">(State or other jurisdiction</div><div id="a71" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:372px;top:426px;">(Commission</div><div id="a73" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:607px;top:426px;">(IRS Employer</div><div id="a75" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:123px;top:441px;">of incorporation)</div><div id="a77" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:372px;top:441px;">File Number)</div><div id="a79" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:598px;top:441px;">Identification No.)</div><div id="a90" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:358px;top:487px;">505 Odyssey Way </div><div id="a92" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:328px;top:502px;">Exploration Park, FL 32953 </div><div id="a94" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:271px;top:518px;">(Address of principal executive offices) (Zip Code) </div><div id="a104" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:215px;top:548px;">Registrant&#8217;s telephone number,<div style="display:inline-block;width:6px">&#160;</div>including area code: (</div><div id="a104_53_3" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:522px;top:548px;"><ix:nonNumeric id="ID_11" name="dei:CityAreaCode" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">254</ix:nonNumeric></div><div id="a104_56_2" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:542px;top:548px;">) </div><div id="a104_58_8" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:550px;top:548px;"><ix:nonNumeric id="ID_12" name="dei:LocalPhoneNumber" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">244-5739</ix:nonNumeric></div><div id="a111" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:343px;top:579px;">1717 Main St, Ste 3388 </div><div id="a113" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:359px;top:594px;">Dallas, TX 75201</div><div id="a115" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:244px;top:610px;">(Former name or former address, if changed since last report)</div><div id="a119" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:288px;top:625px;">____________________________________</div><div id="a123" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:656px;">Check the appropriate box below if the Form 8-K filing is intended<div style="display:inline-block;width:5px">&#160;</div>to simultaneously satisfy the filing obligation of the registrant </div><div id="a127" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:671px;">under any of the following provisions:</div><div id="a131" style="position:absolute;font-family:'Segoe UI Symbol';font-size:13.28px;left:48px;top:701px;"><ix:nonNumeric id="ID_13" name="dei:WrittenCommunications" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt-sec:boolballotbox">&#9744;</ix:nonNumeric></div><div id="a132" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:60px;top:703px;"><div style="display:inline-block;width:7px">&#160;</div>Written communications pursuant to Rule 425<div style="display:inline-block;width:5px">&#160;</div>under the Securities Act (17 CFR 230.425) </div><div id="a135" style="position:absolute;font-family:'Segoe UI Symbol';font-size:13.28px;left:48px;top:719px;"><ix:nonNumeric id="ID_14" name="dei:SolicitingMaterial" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt-sec:boolballotbox">&#9744;</ix:nonNumeric></div><div id="a136" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:60px;top:721px;"><div style="display:inline-block;width:7px">&#160;</div>Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </div><div id="a144" style="position:absolute;font-family:'Segoe UI Symbol';font-size:13.28px;left:48px;top:737px;"><ix:nonNumeric id="ID_15" name="dei:PreCommencementTenderOffer" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt-sec:boolballotbox">&#9744;</ix:nonNumeric></div><div id="a145" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:60px;top:739px;"><div style="display:inline-block;width:7px">&#160;</div>Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange<div style="display:inline-block;width:5px">&#160;</div>Act (17 CFR 240.14d-2(b)) </div><div id="a154" style="position:absolute;font-family:'Segoe UI Symbol';font-size:13.28px;left:48px;top:755px;"><ix:nonNumeric id="ID_16" name="dei:PreCommencementIssuerTenderOffer" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt-sec:boolballotbox">&#9744;</ix:nonNumeric></div><div id="a155" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:60px;top:757px;"><div style="display:inline-block;width:7px">&#160;</div>Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange<div style="display:inline-block;width:5px">&#160;</div>Act (17 CFR 240.13e-4(c)) </div><div id="a165" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:48px;top:772px;"><div style="display:inline-block;width:3px">&#160;</div></div><div id="a167" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:788px;">Securities registered pursuant to Section 12(b) of the Act: </div><div id="a171" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:130px;top:816px;">Title of each class </div><div id="a174" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:397px;top:804px;">Trading </div><div id="a176" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:392px;top:816px;">Symbol(s) </div><div id="a179" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:600px;top:804px;">Name of each exchange </div><div id="a181" style="position:absolute;font-family:'Times New Roman';font-size:10.72px;font-weight:bold;left:608px;top:816px;">on which registered </div><div id="a183" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:50px;top:832px;"><ix:nonNumeric id="ID_18" name="dei:Security12bTitle" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" continuedAt="XBRL_CS_554ec84c04af4e189c964f216a94b90c_1">Class A Common Stock, par value $0.0001 </ix:nonNumeric></div><div id="a189" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:144px;top:847px;"><ix:continuation id="XBRL_CS_554ec84c04af4e189c964f216a94b90c_1">per share</ix:continuation></div><div id="a192" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:396px;top:832px;"><ix:nonNumeric id="ID_19" name="dei:TradingSymbol" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657">VAXX</ix:nonNumeric></div><div id="a195" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:574px;top:832px;">The </div><div id="a195_4_6" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:600px;top:832px;-sec-ix-hidden:ID_20;">Nasdaq</div><div id="a195_10_16" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;font-weight:bold;left:643px;top:832px;"><div style="display:inline-block;width:3px">&#160;</div>Global Market<div style="display:inline-block;width:4px">&#160;</div></div><div id="a200" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:878px;">Indicate by check mark whether the registrant is an emerging growth<div style="display:inline-block;width:5px">&#160;</div>company as defined in Rule 405 of the Securities Act of 1933 </div><div id="a202" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:894px;">(&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of<div style="display:inline-block;width:5px">&#160;</div>1934 (&#167;240.12b-2 of this chapter). </div><div id="a211" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:926px;">Emerging growth company<div style="display:inline-block;width:4px">&#160;</div></div><div id="a214" style="position:absolute;font-family:'Segoe UI Symbol';font-size:13.28px;left:201px;top:924px;"><ix:nonNumeric id="ID_21" name="dei:EntityEmergingGrowthCompany" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt-sec:boolballotbox">&#9746;</ix:nonNumeric></div><div id="a217" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:957px;">If an emerging growth company,<div style="display:inline-block;width:5px">&#160;</div>indicate by check mark if the registrant has elected not to use the extended transition period<div style="display:inline-block;width:5px">&#160;</div>for </div><div id="a220" style="position:absolute;font-family:'Times New Roman';font-size:13.28px;left:48px;top:975px;">complying with any new or revised financial accounting standards provided<div style="display:inline-block;width:5px">&#160;</div>pursuant to Section 13(a) of the Exchange<div style="display:inline-block;width:4px">&#160;</div>Act.<div style="display:inline-block;width:3px">&#160;</div></div><div id="a223" style="position:absolute;font-family:'Segoe UI Symbol';font-size:13.28px;left:713px;top:973px;"><ix:nonNumeric id="ID_17" name="dei:EntityExTransitionPeriod" contextRef="FROM_Jan30_2023_TO_Jan30_2023_Entity_0001851657" format="ixt-sec:boolballotbox">&#9744;</ix:nonNumeric></div></div>
</div>
<div style="padding: 7px">
<div id="Page2" style="background-color:RGB(255, 255, 255);position:relative;margin-left:auto;margin-right:auto;overflow:hidden;border-style:solid;border-width:thin;border-color:RGB(198, 198, 198);page-break-after:always;width:816px;height:1056px;">
<div style="position:absolute; width:71.9px; height:1.4px; left:48px; top:894.7px; background-color:#000000; ">&#160;</div>
<div style="position:absolute; width:72.3px; height:1.4px; left:156.5px; top:894.7px; background-color:#000000; ">&#160;</div>
<div id="a226" 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="a227" 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="a230" style="position:absolute;font-family:'Times New Roman';font-style:italic;left:48px;top:101px;">Resignation of Directors </div><div id="a232" style="position:absolute;font-family:'Times New Roman';left:96px;top:136px;">On January 30, 2023, Mr. Greg Blatt and Mr.<div style="display:inline-block;width:6px">&#160;</div>James Chui resigned from their positions as members of </div><div id="a234" style="position:absolute;font-family:'Times New Roman';left:48px;top:154px;">the Board of Directors (the &#8220;Board&#8221;) of Vaxxinity,<div style="display:inline-block;width:7px">&#160;</div>Inc. (the &#8220;Company&#8221;) and all committees of the Board on </div><div id="a235" style="position:absolute;font-family:'Times New Roman';left:48px;top:172px;">which they served. Mr. Blatt and Mr.<div style="display:inline-block;width:6px">&#160;</div>Chui&#8217;s resignations were not a result of any disagreement between Mr. </div><div id="a239" style="position:absolute;font-family:'Times New Roman';left:48px;top:191px;">Blatt or Mr. Chui and the Company on any matter relating to the Company&#8217;s<div style="display:inline-block;width:6px">&#160;</div>operations, policies or practices.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a242" style="position:absolute;font-family:'Times New Roman';font-style:italic;left:48px;top:225px;">Increase in Board Size; Appointment of Directors </div><div id="a244" style="position:absolute;font-family:'Times New Roman';left:96px;top:260px;">On January 31, 2023, the Board increased the size of the Board from seven members to nine members </div><div id="a246" style="position:absolute;font-family:'Times New Roman';left:48px;top:278px;">and appointed Katherine Eade, Landon Ogilvie, James A. Smith and Gabrielle Toledano (the &#8220;New Members&#8221;) </div><div id="a250" style="position:absolute;font-family:'Times New Roman';left:48px;top:296px;">as members of the Board, effective February 1, 2023.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a252" style="position:absolute;font-family:'Times New Roman';left:96px;top:331px;">The New Members will receive customary compensation from the Company for serving as non-</div><div id="a254" style="position:absolute;font-family:'Times New Roman';left:48px;top:349px;">employee directors, in accordance with the Company&#8217;s Non-Employee Director Compensation Policy as </div><div id="a258" style="position:absolute;font-family:'Times New Roman';left:48px;top:368px;">described in the Company&#8217;s Definitive Proxy Statement, under the heading &#8220;Director Compensation,&#8221; filed with </div><div id="a259" style="position:absolute;font-family:'Times New Roman';left:48px;top:386px;">the U.S. Securities and Exchange Commission (the &#8220;SEC&#8221;) on May 2, 2022 and incorporated by reference </div><div id="a261" style="position:absolute;font-family:'Times New Roman';left:48px;top:404px;">herein. However, the New Members will not receive an initial stock option award upon joining the Board and </div><div id="a262" style="position:absolute;font-family:'Times New Roman';left:48px;top:423px;">will instead become eligible to receive stock option awards beginning with the Company&#8217;s next annual </div><div id="a263" style="position:absolute;font-family:'Times New Roman';left:48px;top:441px;">stockholders meeting.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a266" style="position:absolute;font-family:'Times New Roman';left:96px;top:476px;">Effective upon the appointment of the New Members, the Board reconstituted its committees as follows:<div style="display:inline-block;width:5px">&#160;</div></div><div id="a268" style="position:absolute;font-family:'Times New Roman';left:96px;top:510px;">Audit Committee: George Hornig (Chair), Peter Diamandis, Katherine Eade and James A. Smith </div><div id="a270" style="position:absolute;font-family:'Times New Roman';left:96px;top:544px;">Compensation Committee: Gabrielle Toledano (Chair), Peter Diamandis and Landon Ogilvie<div style="display:inline-block;width:5px">&#160;</div></div><div id="a274" style="position:absolute;font-family:'Times New Roman';left:96px;top:579px;">Nominating and Governance Committee: Peter Diamandis (Chair) and Gabrielle Toledano </div><div id="a276" style="position:absolute;font-family:'Times New Roman';left:96px;top:613px;">The Board determined that each of the New Members is independent pursuant to the director </div><div id="a277" style="position:absolute;font-family:'Times New Roman';left:48px;top:632px;">independence standards established under the Nasdaq Listing Rules and that Katherine Eade and James A. </div><div id="a279" style="position:absolute;font-family:'Times New Roman';left:48px;top:650px;">Smith meet the additional requirements for service on the Company&#8217;s Audit Committee.<div style="display:inline-block;width:9px">&#160;</div>The Board designated </div><div id="a280" style="position:absolute;font-family:'Times New Roman';left:48px;top:668px;">Landon Ogilvie as the Lead Independent Director. </div><div id="a282" style="position:absolute;font-family:'Times New Roman';left:96px;top:703px;">There are no arrangements or understandings between the New Members and any other person pursuant </div><div id="a284" style="position:absolute;font-family:'Times New Roman';left:48px;top:721px;">to which the New Members were appointed as directors. None of the New Members has any family </div><div id="a285" style="position:absolute;font-family:'Times New Roman';left:48px;top:740px;">relationships with any of the Company&#8217;s directors or executive officers. There are no transactions to<div style="display:inline-block;width:5px">&#160;</div>which the </div><div id="a288" style="position:absolute;font-family:'Times New Roman';left:48px;top:758px;">Company is a party and in which any of the New Members have a material interest that are required to be </div><div id="a289" style="position:absolute;font-family:'Times New Roman';left:48px;top:776px;">disclosed under Item 404(a) of Regulation S-K. </div><div id="a294" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:811px;">Item 9.01. Financial Statements and Exhibits.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a296" style="position:absolute;font-family:'Times New Roman';left:48px;top:845px;">(d) Exhibits </div><div id="a298" style="position:absolute;font-family:'Times New Roman';font-size:14.72px;font-weight:bold;left:48px;top:880px;">Exhibit No.<div style="display:inline-block;width:37px">&#160;</div>Description </div><div id="a303" style="position:absolute;font-family:'Times New Roman';left:48px;top:912px;">104 </div><div id="a305" style="position:absolute;font-family:'Times New Roman';left:158px;top:912px;">Cover Page Interactive Data File (embedded within the Inline XBRL document). </div></div>
</div>
<div style="padding: 7px">
<div id="Page3" style="background-color:RGB(255, 255, 255);position:relative;margin-left:auto;margin-right:auto;overflow:hidden;border-style:solid;border-width:thin;border-color:RGB(198, 198, 198);page-break-after:always;width:816px;height:1056px;">
<div style="position:absolute; width:396.1px; height:1px; left:371.7px; top:210px; background-color:#000000; ">&#160;</div>
<div id="a310" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:356px;top:48px;">SIGNATURES </div><div id="a312" 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="a313" 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="a318" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:372px;top:142px;">VAXXINITY,<div style="display:inline-block;width:7px">&#160;</div>INC. </div><div id="a324" style="position:absolute;font-family:'Times New Roman';left:48px;top:192px;">Date: </div><div id="a326" style="position:absolute;font-family:'Times New Roman';left:91px;top:192px;">February 3, 2023 </div><div id="a328" style="position:absolute;font-family:'Times New Roman';left:343px;top:192px;">By:<div style="display:inline-block;width:4px">&#160;</div></div><div id="a330" style="position:absolute;font-family:'Times New Roman';left:372px;top:192px;">/s/ Ren&#233; Paula </div><div id="a336" style="position:absolute;font-family:'Times New Roman';left:372px;top:213px;">Name: Ren&#233; Paula </div><div id="a339" style="position:absolute;font-family:'Times New Roman';left:372px;top:231px;">Title:<div style="display:inline-block;width:14px">&#160;</div>General Counsel and Secretary </div></div>
</div>
</div>
</body>
</html>
[{"type": "8-K", "sequence": "1", "filename": "20230130_8k.htm", "secsgml_size_bytes": 28088}]
{"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": "23584856"}, "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"}}
20230130_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):
January 30, 2023
____________________________________
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.)
505 Odyssey Way
Exploration Park, FL 32953
(Address of principal executive offices) (Zip Code)
Registrant's telephone number,
including area code: (
254
)
244-5739
1717 Main St, Ste 3388
Dallas, TX 75201
(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.
Resignation of Directors
On January 30, 2023, Mr. Greg Blatt and Mr.
James Chui resigned from their positions as members of
the Board of Directors (the "Board") of Vaxxinity,
Inc. (the "Company") and all committees of the Board on
which they served. Mr. Blatt and Mr.
Chui's resignations were not a result of any disagreement between Mr.
Blatt or Mr. Chui and the Company on any matter relating to the Company's
operations, policies or practices.
Increase in Board Size; Appointment of Directors
On January 31, 2023, the Board increased the size of the Board from seven members to nine members
and appointed Katherine Eade, Landon Ogilvie, James A. Smith and Gabrielle Toledano (the "New Members")
as members of the Board, effective February 1, 2023.
The New Members will receive customary compensation from the Company for serving as non-
employee directors, in accordance with the Company's Non-Employee Director Compensation Policy as
described in the Company's Definitive Proxy Statement, under the heading "Director Compensation," filed with
the U.S. Securities and Exchange Commission (the "SEC") on May 2, 2022 and incorporated by reference
herein. However, the New Members will not receive an initial stock option award upon joining the Board and
will instead become eligible to receive stock option awards beginning with the Company's next annual
stockholders meeting.
Effective upon the appointment of the New Members, the Board reconstituted its committees as follows:
Audit Committee: George Hornig (Chair), Peter Diamandis, Katherine Eade and James A. Smith
Compensation Committee: Gabrielle Toledano (Chair), Peter Diamandis and Landon Ogilvie
Nominating and Governance Committee: Peter Diamandis (Chair) and Gabrielle Toledano
The Board determined that each of the New Members is independent pursuant to the director
independence standards established under the Nasdaq Listing Rules and that Katherine Eade and James A.
Smith meet the additional requirements for service on the Company's Audit Committee.
The Board designated
Landon Ogilvie as the Lead Independent Director.
There are no arrangements or understandings between the New Members and any other person pursuant
to which the New Members were appointed as directors. None of the New Members has any family
relationships with any of the Company's directors or executive officers. There are no transactions to
which the
Company is a party and in which any of the New Members have a material interest that are required to be
disclosed under Item 404(a) of Regulation S-K.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit No.
Description
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.
Date:
February 3, 2023
By:
/s/ René Paula
Name: René Paula
Title:
General Counsel and Secretary