Vaxart, Inc. Form 4 (June 18, 2021)

Summary

Michael J. Finney, a director of Vaxart, Inc., reports in this Form 4 acquisitions of common stock on 06/18/2021. Fully vested stock options were exercised for 9,000 and 12,700 shares at $0.68, and a Common Stock Purchase Warrant was exercised for 181,818 shares at $1.1. After these transactions the reporting person directly owned 656,090 shares. The warrant had been exercisable from 04/11/2019 and was to expire 04/11/2024. Margaret Echerd signed as Attorney-in-Fact for Michael J. Finney on 06/21/2021.

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Full text

SEC Form 4

FORM 4 | 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 or Section 30(h) of the Investment Company Act of 1940 | OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5 | OMB APPROVAL | OMB Number: 3235-0287 Estimated average burden hours per response: 0.5 | OMB Number: | 3235-0287 | Estimated average burden | hours per response: | 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person * Finney Michael J. (Last) (First) (Middle) C/O VAXART, INC. 170 HARBOR WAY, SUITE 300 (Street) SOUTH SAN FRANCISCO CA 94080 (City) (State) (Zip) | Finney Michael J. | (Last) | (First) | (Middle) | C/O VAXART, INC. | 170 HARBOR WAY, SUITE 300 | SOUTH SAN FRANCISCO | CA | 94080 | (City) | (State) | (Zip) | 2. Issuer Name and Ticker or Trading Symbol Vaxart, Inc. [ VXRT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner Officer (give title below) Other (specify below) | X | Director | 10% Owner | Officer (give title below) | Other (specify below)
3. Date of Earliest Transaction
 (Month/Day/Year) 06/18/2021
4. If Amendment, Date of Original Filed
 (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person | X | Form filed by One Reporting Person | Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr.
 3) | 2. Transaction Date
 (Month/Day/Year) | 2A. Deemed Execution Date, if any
 (Month/Day/Year) | 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
Common Stock | 06/18/2021 | M | 9,000 | A | $ 0.68 | 461,572 | D
Common Stock | 06/18/2021 | M | 12,700 | A | $ 0.68 | 474,272 | D
Common Stock | 06/18/2021 | X | 181,818 | A | $ 1.1 | 656,090 | D
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
 (Month/Day/Year) | 3A. Deemed Execution Date, if any
 (Month/Day/Year) | 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
 (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (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: 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) | $ 0.68 | 06/18/2021 | M | 9,000 | (1) | 06/11/2029 | Common stock | 9,000 | $ 0 | 0 | D
Stock Option (right to buy) | $ 0.68 | 06/18/2021 | M | 12,700 | (1) | 06/11/2029 | Common stock | 12,700 | $ 0 | 0 | D
Common Stock Purchase Warrant | $ 1.1 | 06/18/2021 | X | 181,818 | 04/11/2019 | 04/11/2024 | Common stock | 181,818 | $ 0 | 0 | D
Explanation of Responses:
1. The shares subject to this option are fully vested
/s/ Margaret Echerd, Attorney-in-Fact for Michael J. Finney | 06/21/2021
** Signature of Reporting Person | 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

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Original

www.sec.gov