Form Type: 4

SEC EDGAR Link
Accession Number:0001062993-21-000219
Date:2021-01-06
Issuer: VAXCYTE, INC. (PCVX)
Original Submission Date:

Reporting Person:

HOPFNER ROBERT LORNE
C/O VAXCYTE, INC.
353 HATCH DRIVE FOSTER CITY, CA 94404

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-01-06 S 34,913 d $29.24 2,188,054 indirect f3
COMMON STOCK 2021-01-06 S 22,507 d $29.99 2,165,547 indirect f3
COMMON STOCK 2021-01-07 S 24,524 d $27.75 2,141,023 indirect f3
COMMON STOCK 2021-01-07 S 22,587 d $28.80 2,118,436 indirect f3
COMMON STOCK 2021-01-07 S 469 d $29.51 2,117,967 indirect f3
COMMON STOCK 2021-01-08 S 31,468 d $26.43 2,086,499 indirect f3
COMMON STOCK 2021-01-08 S 8,944 d $27.08 2,077,555 indirect f3
COMMON STOCK 2021-01-08 S 200 d $28.23 2,077,355 indirect f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on december 7, 2020.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $28.60 to $29.59, inclusive. the reporting person undertakes to provide to vaxcyte, inc., any security holder of vaxcyte, inc., or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4), (5), (6), (7), (8) and (9) to this form 4.
f3 the shares are held of record by pivotal bioventure partners fund i, l.p. ("pivotal"). the general partner of pivotal is pivotal bioventure partners fund i g.p., l.p., ("pivotal gp"). the general partner of pivotal gp is pivotal bioventure partners fund i u.g.p., ltd, (the "ultimate general partner"). the board of directors of the ultimate general partner may, along with the ultimate general partner, be deemed to have shared voting and dispositive power over the shares owned by pivotal. rob hopfner is the managing partner of pivotal bioventure partners investment advisor llc and may be deemed to share voting and investment power over the shares held directly by pivotal bioventure partners. mr. hopfner disclaims beneficial ownership over such shares except to the extent of any pecuniary interest therein.
f4 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $29.60 to $30.50, inclusive.
f5 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $27.34 to $28.33, inclusive.
f6 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $28.34 to $29.33, inclusive.
f7 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $29.34 to $29.53, inclusive.
f8 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $26.00 to $26.99, inclusive.
f9 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $27.00 to $27.99, inclusive.

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