Vaxxinity Inc.
04/30/2024 | Press release | Distributed by Public on 04/30/2024 14:32
Post-Effective Amendment to Registration Statement - Form POS AM
vaxxposams3
As filed with Securities and Exchange Commission on April 30, 2024
Registration No. 333-273822
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON,D.C. 20549
POST-EFFECTIVE AMENDMENT NO. 1
TO FORM S-3
REGISTRATION STATEMENTNO. 333-273822
UNDER
THE SECURITIES ACT OF 1933
VAXXINITY,INC.
(Exact name of registrant as specified in its charter)
Delaware
86-2083865
(State or other jurisdiction of incorporation or organization)
(I.R.S Employer Identification Number)
505 Odyssey Way
Merritt Island, Florida 32953
(Address, including zip code, and telephone number,including area code, of registrant's principalexecutive offices)
Mei Mei Hu
Chief Executive Officer
Vaxxinity,Inc.
500 Odyssey Way
Merritt Island, Florida 32953
(254) 244-5739
(Name, address, including zip code, and telephone number,including area code, of agent for service)
Copies to:
Courtney M.W.Tygesson
Amanda Weiss
110 N. WackerDr.
Suite 4200
Chicago, Illinois 60606
(312) 881-6500
Sumita Ray, J.D.
Chief Legal, Compliance & Administrative Officer
Vaxxinity,Inc.
500 Odyssey Way
Merritt Island, Florida 32953
(254) 244-5739
Approximate dateof commencementof proposedsale tothe public:
Not applicable.The registrantis filing
this post-effective amendment to remove from registration anysecurities registered hereunder that remain unsold.
If the only securities beingregistered on this Form are being offered pursuantto dividend or interest reinvestment
plans, please check the following box:
☐
If any of the securities beingregistered on this Form areto be offered on adelayed or continuous basis pursuant
to Rule 415 under the Securities Actof 1933, other than securities offered onlyin connection with dividend or interest
reinvestment plans, check the following box:
☐
If this Form isfiled to registeradditional securitiesfor an offeringpursuant toRule 462(b) under theSecurities
Act, please checkthe followingbox and listthe SecuritiesAct registration statementnumber of theearlier effective
registration statement for the same offering.
☐
IfthisForm isapost-effectiveamendmentfiledpursuanttoRule 462(c) undertheSecuritiesAct,checkthe
following box andlist the SecuritiesAct registration statementnumber of theearlier effectiveregistration statement
for the same offering.
☐
If this Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto
that shall become effective uponfiling with the Commission pursuantto Rule 462(e) under the SecuritiesAct, check
the following box.
☐
If this Formis apost-effectiveamendment toa registrationstatement filedpursuant toGeneral InstructionI.D.
filed toregister additionalsecurities oradditional classesof securitiespursuant toRule 413(b) underthe Securities
Act, check the following box.
☐
Indicate by checkmark whether theregistrant is alarge acceleratedfiler, anaccelerated filer,a non-accelerated
filer, asmaller reporting company,or an emerginggrowth company.See the definitionsof "large acceleratedfiler,"
"acceleratedfiler,""smaller reportingcompany"and"emerginggrowthcompany"inRule 12b-2of theExchange
Act.
Large accelerated filer
☐
Accelerated filer
☐
Non-accelerated filer
☒
Smaller reporting company
☒
Emerging growth company
☒
If anemerginggrowthcompany,indicatebycheckmark iftheregistranthas electednottousetheextended
transitionperiodforcomplyingwithanyneworrevisedfinancialaccountingstandardsprovidedpursuantto
Section 7(a)(2)(B) of the Securities Act.
☐
DEREGISTRATION OFSECURITIES
This Post-Effective Amendment No.1 (this "
Post-Effective Amendment
"), relates to the Registration Statement
on
(File No. 333-273822)(the "
Registration Statement
"), filed by Vaxxinity,Inc., a Delaware corporation
(the "
Company
"), on August 9, 2023, with the Securities andExchange Commission (the "
SEC
") to register the sale
from time to timeof up to $300,000,000 intotal of the followingsecurities: (i) the Company's Class A common stock,
par value$0.0001 pershare (the "
Class ACommon Stock
");(ii) the Company'spreferred stock,par value $0.0001
per share; (iii) debt securities; (iv)warrants to purchase the Company'sdebt or equity securities or securitiesof third
partiesorotherrights;(v)subscriptionrightstopurchaseoursecurities;and(vi)unitsconsistingofoneormore
warrants,debtsecurities, sharesof preferredstock, sharesof ClassA CommonStockorany combinationof such
securities (collectively, the "
Registered Securities
"). The Registration Statementwas declared effective onAugust 18,
2023.
On April19, 2024,the Company announcedits intentionto voluntarilydelist itsClass ACommon Stockfrom
the NasdaqStock MarketLLC ("
Nasdaq
") andto deregisterits ClassA CommonStock underSection 12(b)of the
Securities Exchange Actof 1934, asamended (the "
Exchange Act
"). On April 29,2024, the Companyfiled a Form
25withtheSECtoremoveitsClassACommonStockfromlistingandregistrationonNasdaq.Followingthe
effectiveness of the Form 25, the Company intendsto file a Form 15 withthe SEC to suspend its reporting obligations
under the Exchange Act.
In connection withthe Company's voluntary decision todelist and deregisterits Class ACommon Stock, byfiling
this Post-EffectiveAmendment, theCompany hasterminatedthe offeringsof theRegistered Securitiespursuant to
theRegistrationStatement.Accordingly,theCompanyherebyterminatestheeffectivenessoftheRegistration
Statement and,in accordancewith anundertaking madeby the Companyin Part IIof the RegistrationStatement to
removefromregistration,bymeansofpost-effectiveamendment,removesfromregistrationanyandallofthe
RegisteredSecuritiesthatremainunsoldundertheRegistrationStatementasofthedatehereof.TheRegistration
Statement is hereby amended, as appropriate, to reflect the deregistration of all such securities.
SIGNATURES
PursuanttotherequirementsoftheSecuritiesActof1933,asamended,theCompanycertifiesthatithas
reasonable groundsto believethat itmeets allof therequirementsfor filingon Form S-3and hasduly causedthis
Post-EffectiveAmendment tobe signedon itsbehalf bythe undersigned,thereunto dulyauthorized, inthe Cityof
Merritt Island, State of Florida,on April 30, 2024.
VAXXINITY,INC.
By:
/s/ Mei Mei Hu
Mei Mei Hu
Chief Executive Officer
No other person isrequired to sign this Post-Effective Amendment inreliance upon Rule 478 under the Securities
Act of 1933, as amended.