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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_Jun21_2022_TO_Jun21_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 5.07 Submission of Matters to a Vote of Security Holders. </div><div id="a232" style="position:absolute;font-family:'Times New Roman';left:96px;top:83px;">On June 21, 2022, Vaxxinity,<div style="display:inline-block;width:7px">&#160;</div>Inc. (the &#8220;Company&#8221;) held its 2022 Annual Meeting of Stockholders </div><div id="a233" style="position:absolute;font-family:'Times New Roman';left:48px;top:101px;">(&#8220;Annual Meeting&#8221;). A total of 111,968,921 shares of the Company's Class A common stock and 13,874,132 </div><div id="a234" style="position:absolute;font-family:'Times New Roman';left:48px;top:120px;">shares of the Company&#8217;s Class B common stock were entitled to vote as of April 22, 2022, the record date for </div><div id="a237" style="position:absolute;font-family:'Times New Roman';left:48px;top:138px;">the Annual Meeting, of which 83,301,847 shares of the Company&#8217;s Class A common stock and 10,574,388 </div><div id="a238" style="position:absolute;font-family:'Times New Roman';left:48px;top:156px;">shares of the Company&#8217;s Class B common stock were represented in person or by proxy at the Annual Meeting. </div><div id="a240" style="position:absolute;font-family:'Times New Roman';left:48px;top:175px;">With respect to the matters submitted to a vote of stockholders at the Annual Meeting, holders of Class A </div><div id="a241" style="position:absolute;font-family:'Times New Roman';left:48px;top:193px;">common stock and Class B common stock voted together as a single class, and holders of the Company&#8217;s </div><div id="a242" style="position:absolute;font-family:'Times New Roman';left:48px;top:212px;">Class A common stock were entitled to one vote per share and holders of the Company&#8217;s Class B common </div><div id="a248" style="position:absolute;font-family:'Times New Roman';left:48px;top:230px;">stock were entitled to ten votes per share. </div><div id="a250" style="position:absolute;font-family:'Times New Roman';left:96px;top:264px;">At the Annual Meeting, the stockholders of the Company voted on the following proposals: </div><div id="a252" style="position:absolute;font-family:'Times New Roman';left:81px;top:299px;">1.</div><div id="a254" style="position:absolute;font-family:'Times New Roman';left:113px;top:299px;">the election of seven nominees, each to serve as a director of the Company until the 2023 Annual </div><div id="a256" style="position:absolute;font-family:'Times New Roman';left:113px;top:317px;">Meeting of Stockholders and until his or her successor is duly elected and qualified; </div><div id="a258" style="position:absolute;font-family:'Times New Roman';left:81px;top:352px;">2.</div><div id="a260" style="position:absolute;font-family:'Times New Roman';left:113px;top:352px;">a proposal to ratify the appointment of Armanino LLP as the Company&#8217;s independent registered </div><div id="a261" style="position:absolute;font-family:'Times New Roman';left:113px;top:370px;">public accounting firm for the fiscal year ending December 31, 2022. </div><div id="a264" style="position:absolute;font-family:'Times New Roman';left:96px;top:404px;">The results of each of the above proposals are discussed further below. </div><div id="a266" style="position:absolute;font-family:'Times New Roman';font-style:italic;left:48px;top:439px;">Proposal 1 - Election of Directors</div><div id="a271" style="position:absolute;font-family:'Times New Roman';left:96px;top:473px;">The votes cast for or withheld for each director nominee were as follows: </div><div id="a273" style="position:absolute;font-family:'Times New Roman';left:120px;top:509px;">Director Nominee </div><div id="a275" style="position:absolute;font-family:'Times New Roman';left:324px;top:509px;">For </div><div id="a277" style="position:absolute;font-family:'Times New Roman';left:450px;top:509px;">Withheld </div><div id="a279" style="position:absolute;font-family:'Times New Roman';left:564px;top:509px;">Broker Non-Votes </div><div id="a283" style="position:absolute;font-family:'Times New Roman';left:120px;top:544px;">Louis Reese </div><div id="a286" style="position:absolute;font-family:'Times New Roman';left:312px;top:544px;">184,427,046 </div><div id="a288" style="position:absolute;font-family:'Times New Roman';left:456px;top:544px;">642,263 </div><div id="a290" style="position:absolute;font-family:'Times New Roman';left:600px;top:544px;">3,976,418 </div><div id="a292" style="position:absolute;font-family:'Times New Roman';left:120px;top:579px;">Mei Mei Hu </div><div id="a294" style="position:absolute;font-family:'Times New Roman';left:312px;top:579px;">184,427,883 </div><div id="a296" style="position:absolute;font-family:'Times New Roman';left:456px;top:579px;">641,426 </div><div id="a298" style="position:absolute;font-family:'Times New Roman';left:600px;top:579px;">3,976,418 </div><div id="a300" style="position:absolute;font-family:'Times New Roman';left:120px;top:614px;">Gregory R. Blatt </div><div id="a302" style="position:absolute;font-family:'Times New Roman';left:312px;top:614px;">184,427,414 </div><div id="a304" style="position:absolute;font-family:'Times New Roman';left:456px;top:614px;">641,895 </div><div id="a306" style="position:absolute;font-family:'Times New Roman';left:600px;top:614px;">3,976,418 </div><div id="a308" style="position:absolute;font-family:'Times New Roman';left:120px;top:650px;">James Chui </div><div id="a310" style="position:absolute;font-family:'Times New Roman';left:312px;top:650px;">184,426,644 </div><div id="a312" style="position:absolute;font-family:'Times New Roman';left:456px;top:650px;">642,665 </div><div id="a314" style="position:absolute;font-family:'Times New Roman';left:600px;top:650px;">3,976,418 </div><div id="a316" style="position:absolute;font-family:'Times New Roman';left:120px;top:685px;">Peter Diamandis </div><div id="a318" style="position:absolute;font-family:'Times New Roman';left:312px;top:685px;">184,426,765 </div><div id="a320" style="position:absolute;font-family:'Times New Roman';left:456px;top:685px;">642,544 </div><div id="a322" style="position:absolute;font-family:'Times New Roman';left:600px;top:685px;">3,976,418 </div><div id="a324" style="position:absolute;font-family:'Times New Roman';left:120px;top:721px;">George Hornig </div><div id="a326" style="position:absolute;font-family:'Times New Roman';left:312px;top:721px;">185,064,407 </div><div id="a328" style="position:absolute;font-family:'Times New Roman';left:456px;top:721px;">4,902 </div><div id="a330" style="position:absolute;font-family:'Times New Roman';left:600px;top:721px;">3,976,418 </div><div id="a332" style="position:absolute;font-family:'Times New Roman';left:120px;top:756px;">Peter Powchik </div><div id="a334" style="position:absolute;font-family:'Times New Roman';left:312px;top:756px;">184,426,416 </div><div id="a336" style="position:absolute;font-family:'Times New Roman';left:456px;top:756px;">642,893 </div><div id="a338" style="position:absolute;font-family:'Times New Roman';left:600px;top:756px;">3,976,418 </div><div id="a341" style="position:absolute;font-family:'Times New Roman';left:72px;top:825px;">Accordingly, all nominees listed above were elected to serve as a director of the Company until the 2023 </div><div id="a342" style="position:absolute;font-family:'Times New Roman';left:114px;top:843px;">Annual Meeting of Stockholders and until his or her successor is duly elected and qualified. </div><div id="a344" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:408px;top:877px;"><div style="display:inline-block;width:192px">&#160;</div></div></div>
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<div id="a347" style="position:absolute;font-family:'Times New Roman';font-style:italic;left:48px;top:48px;">Proposal 2 - Ratification of Appointment of Independent Registered Public Accounting Firm</div><div id="a353" style="position:absolute;font-family:'Times New Roman';left:96px;top:83px;">The voting results with respect to the proposal to ratify the appointment of Armanino LLP to serve as </div><div id="a354" style="position:absolute;font-family:'Times New Roman';left:48px;top:101px;">the Company&#8217;s independent registered public accounting firm for the fiscal year ending December 31, 2022 </div><div id="a355" style="position:absolute;font-family:'Times New Roman';left:48px;top:120px;">were as follows: </div><div id="a358" style="position:absolute;font-family:'Times New Roman';left:156px;top:155px;">For </div><div id="a360" style="position:absolute;font-family:'Times New Roman';left:383px;top:155px;">Against </div><div id="a362" style="position:absolute;font-family:'Times New Roman';left:623px;top:155px;">Abstain </div><div id="a364" style="position:absolute;font-family:'Times New Roman';left:128px;top:190px;">188,859,071 </div><div id="a366" style="position:absolute;font-family:'Times New Roman';left:382px;top:190px;">112,519 </div><div id="a368" style="position:absolute;font-family:'Times New Roman';left:626px;top:190px;">74,137 </div><div id="a370" style="position:absolute;font-family:'Times New Roman';left:96px;top:225px;">Accordingly, the Company&#8217;s<div style="display:inline-block;width:6px">&#160;</div>stockholders ratified the appointment of Armanino LLP to serve as the </div><div id="a371" style="position:absolute;font-family:'Times New Roman';left:48px;top:243px;">Company&#8217;s independent registered public accounting firm for the fiscal year ending December 31, 2022. </div><div id="a373" style="position:absolute;font-family:'Times New Roman';left:96px;top:277px;">No other matters were submitted to a vote of stockholders at the Annual Meeting. </div><div id="a376" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:312px;">Item 9.01. Financial Statements and Exhibits.<div style="display:inline-block;width:4px">&#160;</div></div><div id="a378" style="position:absolute;font-family:'Times New Roman';left:48px;top:346px;">(d) Exhibits </div><div id="a380" style="position:absolute;font-family:'Times New Roman';font-size:14.72px;font-weight:bold;left:48px;top:381px;">Exhibit No.<div style="display:inline-block;width:37px">&#160;</div>Description </div><div id="a384" style="position:absolute;font-family:'Times New Roman';left:48px;top:413px;">104 </div><div id="a386" style="position:absolute;font-family:'Times New Roman';left:158px;top:413px;">Cover Page Interactive Data File (embedded within the Inline XBRL document). </div><div id="a390" style="position:absolute;font-family:'Times New Roman';left:48px;top:482px;"><div style="display:inline-block;width:192px">&#160;</div></div></div>
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<div id="a393" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:356px;top:48px;">SIGNATURES </div><div id="a395" 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="a396" 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="a401" 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="a407" style="position:absolute;font-family:'Times New Roman';left:48px;top:192px;">Date: </div><div id="a409" style="position:absolute;font-family:'Times New Roman';left:91px;top:192px;">June 24, 2022 </div><div id="a412" 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="a414" style="position:absolute;font-family:'Times New Roman';left:372px;top:192px;">/s/ Ren&#233; Paula Molina </div><div id="a420" style="position:absolute;font-family:'Times New Roman';left:372px;top:213px;">Name: Ren&#233; Paula Molina </div><div id="a423" 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>
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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": "221040711"}, "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"}}
20220621_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):
June 21, 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 3388
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 5.07 Submission of Matters to a Vote of Security Holders.
On June 21, 2022, Vaxxinity,
Inc. (the "Company") held its 2022 Annual Meeting of Stockholders
("Annual Meeting"). A total of 111,968,921 shares of the Company's Class A common stock and 13,874,132
shares of the Company's Class B common stock were entitled to vote as of April 22, 2022, the record date for
the Annual Meeting, of which 83,301,847 shares of the Company's Class A common stock and 10,574,388
shares of the Company's Class B common stock were represented in person or by proxy at the Annual Meeting.
With respect to the matters submitted to a vote of stockholders at the Annual Meeting, holders of Class A
common stock and Class B common stock voted together as a single class, and holders of the Company's
Class A common stock were entitled to one vote per share and holders of the Company's Class B common
stock were entitled to ten votes per share.
At the Annual Meeting, the stockholders of the Company voted on the following proposals:
1.
the election of seven nominees, each to serve as a director of the Company until the 2023 Annual
Meeting of Stockholders and until his or her successor is duly elected and qualified;
2.
a proposal to ratify the appointment of Armanino LLP as the Company's independent registered
public accounting firm for the fiscal year ending December 31, 2022.
The results of each of the above proposals are discussed further below.
Proposal 1 - Election of Directors
The votes cast for or withheld for each director nominee were as follows:
Director Nominee
For
Withheld
Broker Non-Votes
Louis Reese
184,427,046
642,263
3,976,418
Mei Mei Hu
184,427,883
641,426
3,976,418
Gregory R. Blatt
184,427,414
641,895
3,976,418
James Chui
184,426,644
642,665
3,976,418
Peter Diamandis
184,426,765
642,544
3,976,418
George Hornig
185,064,407
4,902
3,976,418
Peter Powchik
184,426,416
642,893
3,976,418
Accordingly, all nominees listed above were elected to serve as a director of the Company until the 2023
Annual Meeting of Stockholders and until his or her successor is duly elected and qualified.
Proposal 2 - Ratification of Appointment of Independent Registered Public Accounting Firm
The voting results with respect to the proposal to ratify the appointment of Armanino LLP to serve as
the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022
were as follows:
For
Against
Abstain
188,859,071
112,519
74,137
Accordingly, the Company's
stockholders ratified the appointment of Armanino LLP to serve as the
Company's independent registered public accounting firm for the fiscal year ending December 31, 2022.
No other matters were submitted to a vote of stockholders at the Annual Meeting.
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:
June 24, 2022
By:
/s/ René Paula Molina
Name: René Paula Molina
Title:
General Counsel and Secretary