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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_Jun20_2023_TO_Jun20_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 5.07 Submission of Matters to a Vote<div style="display:inline-block;width:5px">&#160;</div>of Security Holders. </div><div id="a234" style="position:absolute;font-family:'Times New Roman';left:72px;top:72px;">On June 20, 2023, Vaxxinity,<div style="display:inline-block;width:6px">&#160;</div>Inc. (the &#8220;Company&#8221;) held its 2023 Annual Meeting of Stockholders<div style="display:inline-block;width:5px">&#160;</div>(&#8220;Annual Meeting&#8221;). 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With respect to the matters submitted<div style="display:inline-block;width:5px">&#160;</div>to a vote of stockholders at the Annual Meeting, holders of Class A common<div style="display:inline-block;width:5px">&#160;</div>stock and </div><div id="a254" style="position:absolute;font-family:'Times New Roman';left:48px;top:148px;">Class B common stock voted together as a single class, and holders of the<div style="display:inline-block;width:5px">&#160;</div>Company&#8217;s Class A common stock<div style="display:inline-block;width:5px">&#160;</div>were entitled to one vote </div><div id="a258" style="position:absolute;font-family:'Times New Roman';left:48px;top:164px;">per share and holders of the Company&#8217;s<div style="display:inline-block;width:5px">&#160;</div>Class B common stock were entitled to ten votes per share. </div><div id="a262" style="position:absolute;font-family:'Times New Roman';left:72px;top:187px;">At the Annual Meeting, the stockholders of the Company voted on the<div style="display:inline-block;width:5px">&#160;</div>following proposals: </div><div id="a265" style="position:absolute;font-family:'Times New Roman';left:96px;top:210px;">1.</div><div id="a267" style="position:absolute;font-family:'Times New Roman';left:120px;top:210px;">the election of nine nominees, each to serve as a director of the Company until the 2024<div style="display:inline-block;width:5px">&#160;</div>Annual Meeting of Stockholders </div><div id="a268" style="position:absolute;font-family:'Times New Roman';left:120px;top:226px;">and until his or her successor is duly elected and qualified; </div><div id="a270" style="position:absolute;font-family:'Times New Roman';left:96px;top:249px;">2.</div><div id="a272" style="position:absolute;font-family:'Times New Roman';left:120px;top:249px;">a proposal to ratify the appointment of Armanino LLP as the Company&#8217;s<div style="display:inline-block;width:5px">&#160;</div>independent registered public accounting firm 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style="position:absolute;font-family:'Times New Roman';left:574px;top:359px;">Broker Non-Votes </div><div id="a296" style="position:absolute;font-family:'Times New Roman';left:120px;top:383px;">Louis Reese </div><div id="a298" style="position:absolute;font-family:'Times New Roman';left:312px;top:383px;">182,476,994 </div><div id="a300" style="position:absolute;font-family:'Times New Roman';left:456px;top:383px;">3,528,143 </div><div id="a302" style="position:absolute;font-family:'Times New Roman';left:600px;top:383px;">8,210,192 </div><div id="a304" style="position:absolute;font-family:'Times New Roman';left:120px;top:407px;">Mei Mei Hu </div><div id="a306" style="position:absolute;font-family:'Times New Roman';left:312px;top:407px;">182,504,222 </div><div id="a308" style="position:absolute;font-family:'Times New Roman';left:456px;top:407px;">3,500,915 </div><div id="a310" style="position:absolute;font-family:'Times New Roman';left:600px;top:407px;">8,210,192 </div><div id="a312" style="position:absolute;font-family:'Times New Roman';left:120px;top:431px;">Katherine Eade </div><div id="a314" style="position:absolute;font-family:'Times New Roman';left:312px;top:431px;">185,974,457 </div><div id="a316" style="position:absolute;font-family:'Times New Roman';left:456px;top:431px;">30,680 </div><div id="a318" style="position:absolute;font-family:'Times New Roman';left:600px;top:431px;">8,210,192 </div><div id="a320" style="position:absolute;font-family:'Times New Roman';left:120px;top:456px;">Landon Ogilvie </div><div id="a322" style="position:absolute;font-family:'Times New Roman';left:312px;top:456px;">185,969,408 </div><div id="a324" style="position:absolute;font-family:'Times New Roman';left:456px;top:456px;">35,729 </div><div id="a326" style="position:absolute;font-family:'Times New Roman';left:600px;top:456px;">8,210,192 </div><div id="a328" style="position:absolute;font-family:'Times New Roman';left:120px;top:480px;">James Smith </div><div id="a330" style="position:absolute;font-family:'Times New Roman';left:312px;top:480px;">185,969,898 </div><div id="a332" style="position:absolute;font-family:'Times New Roman';left:456px;top:480px;">35,239 </div><div id="a334" style="position:absolute;font-family:'Times New Roman';left:600px;top:480px;">8,210,192 </div><div id="a336" style="position:absolute;font-family:'Times New Roman';left:120px;top:504px;">Gabriella Toledano </div><div id="a338" style="position:absolute;font-family:'Times New Roman';left:312px;top:504px;">185,973,662 </div><div id="a340" style="position:absolute;font-family:'Times New Roman';left:456px;top:504px;">31,475 </div><div id="a342" style="position:absolute;font-family:'Times New Roman';left:600px;top:504px;">8,210,192 </div><div id="a344" style="position:absolute;font-family:'Times New Roman';left:120px;top:529px;">Peter Diamandis </div><div id="a346" style="position:absolute;font-family:'Times New Roman';left:312px;top:529px;">182,446,233 </div><div id="a348" style="position:absolute;font-family:'Times New Roman';left:456px;top:529px;">3,558,904 </div><div id="a350" style="position:absolute;font-family:'Times New Roman';left:600px;top:529px;">8,210,192 </div><div id="a352" style="position:absolute;font-family:'Times New Roman';left:120px;top:553px;">George Hornig </div><div id="a354" style="position:absolute;font-family:'Times New Roman';left:312px;top:553px;">185,964,701 </div><div id="a356" style="position:absolute;font-family:'Times New Roman';left:456px;top:553px;">40,436 </div><div id="a358" style="position:absolute;font-family:'Times New Roman';left:600px;top:553px;">8,210,192 </div><div id="a360" style="position:absolute;font-family:'Times New Roman';left:120px;top:577px;">Peter Powchik </div><div id="a362" style="position:absolute;font-family:'Times New Roman';left:312px;top:577px;">185,956,552 </div><div id="a364" style="position:absolute;font-family:'Times New Roman';left:456px;top:577px;">48,585 </div><div id="a366" style="position:absolute;font-family:'Times New Roman';left:600px;top:577px;">8,210,192 </div><div id="a369" style="position:absolute;font-family:'Times New Roman';left:72px;top:616px;">Accordingly, all nominees<div style="display:inline-block;width:5px">&#160;</div>listed above were elected to serve as a director of the Company until the 2024<div style="display:inline-block;width:5px">&#160;</div>Annual Meeting of </div><div id="a370" style="position:absolute;font-family:'Times New Roman';left:48px;top:631px;">Stockholders and until his or her successor is duly elected and qualified. </div><div id="a372" style="position:absolute;font-family:'Times New Roman';font-style:italic;left:48px;top:654px;"><div style="display:inline-block;width:192px">&#160;</div></div></div>
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<div id="a375" style="position:absolute;font-family:'Times New Roman';font-style:italic;left:48px;top:48px;">Proposal 2 - Ratification of Appointment of<div style="display:inline-block;width:5px">&#160;</div>Independent Registered Public Accounting Firm</div><div id="a381" style="position:absolute;font-family:'Times New Roman';left:72px;top:72px;">The voting results with respect to the proposal to ratify the appointment of Armanino<div style="display:inline-block;width:5px">&#160;</div>LLP to serve as the Company&#8217;s independent </div><div id="a383" style="position:absolute;font-family:'Times New Roman';left:48px;top:87px;">registered public accounting firm for the fiscal year ending December 31, 2023<div style="display:inline-block;width:5px">&#160;</div>were as follows: </div><div id="a386" style="position:absolute;font-family:'Times New Roman';left:158px;top:111px;">For </div><div id="a388" style="position:absolute;font-family:'Times New Roman';left:387px;top:111px;">Against </div><div id="a390" style="position:absolute;font-family:'Times New Roman';left:627px;top:111px;">Abstain </div><div id="a392" style="position:absolute;font-family:'Times New Roman';left:134px;top:136px;">194,129,682 </div><div id="a394" style="position:absolute;font-family:'Times New Roman';left:389px;top:136px;">76,106 </div><div id="a396" style="position:absolute;font-family:'Times New Roman';left:633px;top:136px;">9,541 </div><div id="a399" style="position:absolute;font-family:'Times New Roman';left:72px;top:174px;">Accordingly, the<div style="display:inline-block;width:5px">&#160;</div>Company&#8217;s stockholders ratified the appointment<div style="display:inline-block;width:5px">&#160;</div>of Armanino LLP to serve as the Company&#8217;s<div style="display:inline-block;width:5px">&#160;</div>independent </div><div id="a402" style="position:absolute;font-family:'Times New Roman';left:48px;top:190px;">registered public accounting firm for the fiscal year ending December 31, 2023. </div><div id="a404" style="position:absolute;font-family:'Times New Roman';left:72px;top:213px;">No other matters were submitted to a vote of stockholders at the Annual<div style="display:inline-block;width:5px">&#160;</div>Meeting. </div></div>
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<div id="a409" style="position:absolute;font-family:'Times New Roman';font-size:16px;font-weight:bold;left:356px;top:48px;">SIGNATURES </div><div id="a411" style="position:absolute;font-family:'Times New Roman';font-size:16px;left:96px;top:83px;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this </div><div id="a413" style="position:absolute;font-family:'Times New Roman';font-size:16px;left:48px;top:101px;">report to be signed on its behalf by the undersigned hereunto duly authorized. </div><div id="a418" style="position:absolute;font-family:'Times New Roman';font-size:16px;font-weight:bold;left:372px;top:142px;">VAXXINITY,<div style="display:inline-block;width:7px">&#160;</div>INC. </div><div id="a424" style="position:absolute;font-family:'Times New Roman';font-size:16px;left:48px;top:192px;">Date: </div><div id="a426" style="position:absolute;font-family:'Times New Roman';font-size:16px;left:91px;top:192px;">June 22, 2023 </div><div id="a428" style="position:absolute;font-family:'Times New Roman';font-size:16px;left:343px;top:192px;">By:<div style="display:inline-block;width:4px">&#160;</div></div><div id="a430" style="position:absolute;font-family:'Times New Roman';font-size:16px;left:372px;top:192px;">/s/ Ren&#233; Paula </div><div id="a436" style="position:absolute;font-family:'Times New Roman';font-size:16px;left:372px;top:213px;">Name: Ren&#233; Paula </div><div id="a439" style="position:absolute;font-family:'Times New Roman';font-size:16px;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": "FL", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-41058", "film-number": "231033694"}, "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):
June 20, 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 5.07 Submission of Matters to a Vote
of Security Holders.
On June 20, 2023, Vaxxinity,
Inc. (the "Company") held its 2023 Annual Meeting of Stockholders
("Annual Meeting"). A total of
112,190,162 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 21, 2023, the record date for the Annual Meeting, of
which 88,471,449 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 nine nominees, each to serve as a director of the Company until the 2024
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, 2023.
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
182,476,994
3,528,143
8,210,192
Mei Mei Hu
182,504,222
3,500,915
8,210,192
Katherine Eade
185,974,457
30,680
8,210,192
Landon Ogilvie
185,969,408
35,729
8,210,192
James Smith
185,969,898
35,239
8,210,192
Gabriella Toledano
185,973,662
31,475
8,210,192
Peter Diamandis
182,446,233
3,558,904
8,210,192
George Hornig
185,964,701
40,436
8,210,192
Peter Powchik
185,956,552
48,585
8,210,192
Accordingly, all nominees
listed above were elected to serve as a director of the Company until the 2024
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, 2023
were as follows:
For
Against
Abstain
194,129,682
76,106
9,541
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, 2023.
No other matters were submitted to a vote of stockholders at the Annual
Meeting.
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 22, 2023
By:
/s/ René Paula
Name: René Paula
Title:
General Counsel and Secretary