Sec Form 4 Filing - HORNIG GEORGE R @ Vaxxinity, Inc. - 2022-06-21

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person HORNIG GEORGE R 2. Issuer Name and Ticker or Trading Symbol Vaxxinity, Inc. [ VAXX] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) (Last) (First) (Middle) 1717 MAIN STREET, SUITE 3388 3. Date of Earliest Transaction (MM/DD/YY) 06/21/2022 (Street) DALLAS, TX75201 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Stock option (right to buy) $ 2.09 06/21/2022( 1 ) A 129,187 ( 2 ) ( 3 ) Class A common stock 129,187 $ 0 129,187 D Stock option (right to buy) $ 5.96 ( 4 ) 01/03/2032 Class A common stock 67,953 67,953 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other HORNIG GEORGE R 1717 MAIN STREET SUITE 3388 DALLAS, TX75201 X Signatures /s/ Rene Paula Molina, attorney-in-fact for George Hornig 06/23/2022 Signature of Reporting Person Date

Explanation of Responses:

( 1 )These options were automatically granted following the Issuer's annual shareholders meeting pursuant to a policy adopted by the Issuer's board of directors providing for annual non-employee director compensation. ( 2 )These options vest on the earliest of (i) the one-year anniversary of the grant date, (ii) the following year's annual stockholder meeting, and (iii) a Change in Control (as defined in the Vaxxinity, Inc. 2021 Omnibus Incentive Compensation Plan), in each case, subject to the Reporting Person's continued service with the Issuer through the vesting date. ( 3 )These stock options shall expire upon the earlier of (i) the tenth anniversary of the grant date, and (ii) three months after the date the Reporting Person ceases to be a director, officer, employee or consultant of the Issuer or one of its affiliates. ( 4 )The vesting details of these options were inaccurately described in footnote no. 1 of the Form 4 filed by the Reporting Person on January 5, 2022. These options vest in equal annual installments on each of the first, second and third anniversaries of the grant date. However, these options will fully vest upon a Change in Control (as defined in the Vaxxinity, Inc. 2021 Omnibus Incentive Compensation Plan). In each case, vesting is subject to the Reporting Person's continued service with the Issuer through the vesting date.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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