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<div id="a1" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:312px;top:56px;">UNITED STATES</div><div id="a3" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:150px;top:83px;">SECURITIES AND EXCHANGE COMMISSION </div><div id="a6" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:339px;top:126px;">Washington, D.C. 20549 </div><div id="a8" style="position:absolute;font-family:'Times New Roman';left:308px;top:141px;">______________________________ </div><div id="a10" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:349px;top:157px;">FORM </div><div id="a10_5_3" style="position:absolute;font-family:'Times New Roman';font-size:24px;font-weight:bold;left:428px;top:157px;"><ix:nonNumeric id="ID_0" name="dei:DocumentType" contextRef="FROM_Feb09_2024_TO_Feb09_2024_Entity_0001851657">8-K</ix:nonNumeric></div><div id="a14" 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<div id="a219" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:48px;top:48px;">Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. </div><div id="a222" style="position:absolute;font-family:'Times New Roman';left:48px;top:79px;">On February 9, 2024, Vaxxinity,<div style="display:inline-block;width:5px">&#160;</div>Inc. (the &#8220;Company&#8221;) received a notice from the Listing Qualifications Department of The Nasdaq </div><div id="a224" style="position:absolute;font-family:'Times New Roman';left:48px;top:94px;">Stock Market LLC indicating that the Company was no longer in compliance with Listing Rule 5450(a)(1) (the &#8220;Minimum Bid Price </div><div id="a226" style="position:absolute;font-family:'Times New Roman';left:48px;top:110px;">Requirement&#8221;) with respect to its Class A Common Stock, which requires the Company to maintain a minimum bid price of $1.00 per </div><div id="a229" style="position:absolute;font-family:'Times New Roman';left:48px;top:125px;">share for continued listing on The Nasdaq Global Market (the &#8220;Notice&#8221;). The Company has until August 7, 2024, which is 180 </div><div id="a230" style="position:absolute;font-family:'Times New Roman';left:48px;top:140px;">calendar days from the date of the Notice (the &#8220;Compliance Period&#8221;), to regain compliance with the Minimum Bid Price Requirement. </div><div id="a233" style="position:absolute;font-family:'Times New Roman';left:48px;top:156px;">The Company can regain compliance if the closing bid price of the Class A Common Stock closes at least $1.00 per share for<div style="display:inline-block;width:2px">&#160;</div>a </div><div id="a234" style="position:absolute;font-family:'Times New Roman';left:48px;top:171px;">minimum of ten consecutive business days.<div style="display:inline-block;width:3px">&#160;</div></div><div id="a237" style="position:absolute;font-family:'Times New Roman';left:48px;top:202px;">The Notice has no immediate effect on the listing of the Company&#8217;s Class A Common Stock on The Nasdaq Global Market, which </div><div id="a238" style="position:absolute;font-family:'Times New Roman';left:48px;top:217px;">will remain listed on The Nasdaq Global Market during the Compliance Period, subject to the Company&#8217;s compliance with other </div><div id="a239" style="position:absolute;font-family:'Times New Roman';left:48px;top:232px;">continued listing requirements.<div style="display:inline-block;width:3px">&#160;</div></div><div id="a244" style="position:absolute;font-family:'Times New Roman';left:48px;top:263px;">The Company intends to actively monitor the bid price of its Class A Common Stock and will consider available<div style="display:inline-block;width:2px">&#160;</div>options to regain </div><div id="a246" style="position:absolute;font-family:'Times New Roman';left:48px;top:278px;">compliance with the Minimum Bid Price Requirement. However, there can be no assurance that the Company will be able to regain </div><div id="a248" style="position:absolute;font-family:'Times New Roman';left:48px;top:294px;">compliance with the Minimum Bid Price Requirement or remain in compliance with other continued listing requirements. </div><div id="a251" style="position:absolute;font-family:'Times New Roman';left:48px;top:309px;"><div style="display:inline-block;width:192px">&#160;</div></div></div>
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<div id="a254" style="position:absolute;font-family:'Times New Roman';font-weight:bold;left:365px;top:48px;">SIGNATURES </div><div id="a257" style="position:absolute;font-family:'Times New Roman';left:48px;top:79px;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its </div><div id="a259" style="position:absolute;font-family:'Times New Roman';left:48px;top:94px;">behalf by the undersigned hereunto duly authorized. </div><div id="a265" style="position:absolute;font-family:'Times New Roman';left:48px;top:125px;">Date: February 14, 2024 </div><div id="a269" style="position:absolute;font-family:'Times New Roman';left:466px;top:156px;">VAXXINITY,<div style="display:inline-block;width:7px">&#160;</div>INC. </div><div id="a271" style="position:absolute;font-family:'Times New Roman';left:466px;top:203px;">By: </div><div id="a273" style="position:absolute;font-family:'Times New Roman';left:508px;top:203px;">/s/ Mei Mei Hu </div><div id="a277" style="position:absolute;font-family:'Times New Roman';left:508px;top:219px;">Name:<div style="display:inline-block;width:12px">&#160;</div>Mei Mei Hu </div><div id="a282" style="position:absolute;font-family:'Times New Roman';left:508px;top:234px;">Title:<div style="display:inline-block;width:20px">&#160;</div>Chief Executive Officer </div></div>
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{"company-data": {"conformed-name": "Vaxxinity, Inc.", "cik": "0001851657", "assigned-sic": "2834", "organization-name": "03 Life Sciences", "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": "24643999"}, "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"}}
20240209
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):
February 9, 2024
____________________________________
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 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On February 9, 2024, Vaxxinity,
Inc. (the "Company") received a notice from the Listing Qualifications Department of The Nasdaq
Stock Market LLC indicating that the Company was no longer in compliance with Listing Rule 5450(a)(1) (the "Minimum Bid Price
Requirement") with respect to its Class A Common Stock, which requires the Company to maintain a minimum bid price of $1.00 per
share for continued listing on The Nasdaq Global Market (the "Notice"). The Company has until August 7, 2024, which is 180
calendar days from the date of the Notice (the "Compliance Period"), to regain compliance with the Minimum Bid Price Requirement.
The Company can regain compliance if the closing bid price of the Class A Common Stock closes at least $1.00 per share for
a
minimum of ten consecutive business days.
The Notice has no immediate effect on the listing of the Company's Class A Common Stock on The Nasdaq Global Market, which
will remain listed on The Nasdaq Global Market during the Compliance Period, subject to the Company's compliance with other
continued listing requirements.
The Company intends to actively monitor the bid price of its Class A Common Stock and will consider available
options to regain
compliance with the Minimum Bid Price Requirement. However, there can be no assurance that the Company will be able to regain
compliance with the Minimum Bid Price Requirement or remain in compliance with other continued listing requirements.
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: February 14, 2024
VAXXINITY,
INC.
By:
/s/ Mei Mei Hu
Name:
Mei Mei Hu
Title:
Chief Executive Officer