VXRT

SEC source: 0001437749-21-014606 · rdgdoc.xml · nonDerivative · entry 2

Echerd Margaret · CIK 0001530193 · SVP, Principal Accntng Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,555

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-21-014606 · rdgdoc.xml · nonDerivative · entry 1

Echerd Margaret · CIK 0001530193 · SVP, Principal Accntng Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-21-011553 · rdgdoc.xml · derivative · entry 6

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common stock · 100,000 shares

Expires 2030-03-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 31.25% of the shares subject to this stock option vested on June 8, 2020, the grant date, with the remaining 68.75% vesting in 22 equal monthly installments on the first day of each calendar month thereafter, such that the option shall be fully vested on April 1, 2022.

SEC source: 0001437749-21-011553 · rdgdoc.xml · nonDerivative · entry 4

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001437749-21-011553 · rdgdoc.xml · nonDerivative · entry 3

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-21-011553 · rdgdoc.xml · derivative · entry 5

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common stock · 100,000 shares

Expires 2030-03-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 31.25% of the shares subject to this stock option vested on June 8, 2020, the grant date, with the remaining 68.75% vesting in 22 equal monthly installments on the first day of each calendar month thereafter, such that the option shall be fully vested on April 1, 2022.

SEC source: 0001437749-21-011553 · rdgdoc.xml · nonDerivative · entry 2

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001437749-21-011553 · rdgdoc.xml · nonDerivative · entry 1

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-21-006473 · rdgdoc.xml · derivative · entry 4

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 1,006 shares

Expires 2021-03-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is fully vested

SEC source: 0001437749-21-006473 · rdgdoc.xml · nonDerivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,053

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-21-005145 · rdgdoc.xml · derivative · entry 3

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,261

Underlying: Common stock · 150,000 shares

Expires 2029-05-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The stock option vests over a four-year period, with 25% of the shares subject to the stock option vesting on the first anniversary of the vesting commencement date of May 10, 2019, and the remaining shares in 36 equal monthly installments thereafter.

SEC source: 0001437749-21-005145 · rdgdoc.xml · nonDerivative · entry 2

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001437749-21-005145 · rdgdoc.xml · nonDerivative · entry 1

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-20-024358 · rdgdoc.xml · nonDerivative · entry 1

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.03 to $6.7102, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0001437749-20-018801 · rdgdoc.xml · derivative · entry 1

WILSON KAREN J · CIK 0001267490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,700

Underlying: Common Stock · 65,700 shares

Expires 2030-08-24

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of August 25, 2020, the date of the grantee's appointment as a director of Vaxart, Inc.

SEC source: 0001437749-20-018044 · rdgdoc.xml · derivative · entry 4

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,026 shares

Expires 2020-08-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is fully vested.

SEC source: 0001437749-20-018044 · rdgdoc.xml · nonDerivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,679

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-20-017670 · rdgdoc.xml · derivative · entry 2

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 166,667 shares

Expires 2024-09-30

SEC source: 0001437749-20-017670 · rdgdoc.xml · nonDerivative · entry 1

Latour Wouter · CIK 0001652203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,334

SEC source: 0000919574-20-004394 · ownership.xml · derivative · entry 12

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires 2024-04-09

F4 · derivative.exercise_date: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise.

SEC source: 0000919574-20-004394 · ownership.xml · derivative · entry 11

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,090,909 shares

Expires 2024-04-09

F4 · derivative.exercise_date: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 8

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 145,523

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 7

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,523

F3 · price: This constitutes the weighted average sale price. The prices ranged from $6.58 to $9.90. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 9,530,909

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,530,909

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-004394 · ownership.xml · derivative · entry 10

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires 2024-09-26

F4 · derivative.exercise_date: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise.

SEC source: 0000919574-20-004394 · ownership.xml · derivative · entry 9

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,666,667 shares

Expires 2024-09-26

F4 · derivative.exercise_date: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 5,440,000

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,440,000

F2 · price: This constitutes the weighted average sale price. The prices ranged from $7.97 to $12.89. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 23,666,667

SEC source: 0000919574-20-004394 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,666,667

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-20-013329 · rdgdoc.xml · derivative · entry 2

Floroiu Cezar Andrei · CIK 0001808794 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires 2030-06-14

F2 · derivative.exercise_date: The shares subject to this option shall vest as follows: (i) one-third if the Company achieves a per share closing price equal to $5.00 or more during any 10-consecutive trading days after the Grant Date but before November 30, 2020, or such later date as determined by the Board (the "Reference Date"), (ii) one-third if the Company achieves a per share closing price equal to $7.50 or more during any 10-consecutive trading days after the Grant Date but before the Reference Date, and (iii) one-third if the Company achieves a per share closing price equal to $10.00 or more during any 10-consecutive trading days after the Grant Date but before the Reference Date, in each case subject to continued employment. In the event a Change in Control occurs before the Reference Date, any unvested portion of the Performance-Based Option will vest in accordance with the above schedule based on the Company attaining the specified stock price immediately prior to the closing of such transaction.

SEC source: 0001437749-20-013329 · rdgdoc.xml · derivative · entry 1

Floroiu Cezar Andrei · CIK 0001808794 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 845,280

Underlying: Common Stock · 845,280 shares

Expires 2030-06-14

F1 · derivative.exercise_date: The option vests over a four-year period, with 25% of the shares subject to the option vesting on the first anniversary of the vesting commencement date of June 15, 2020 (the "Grant Date") and the remaining shares subject to the option vesting in equal monthly installments over the next 36 months. The option is subject to accelerated vesting with respect to 50% of any then-unvested option shares upon a substantial strategic agreement, as determined by the Board, and to accelerated vesting in full in the event of a "Change in Control" (as defined under the Company's 2019 Equity Incentive Plan).

SEC source: 0001437749-20-012748 · rdgdoc.xml · derivative · entry 1

Yedid Robert A. · CIK 0001792558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,700

Underlying: Common Stock · 65,700 shares

Expires 2030-06-07

F1 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2020 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-20-012747 · rdgdoc.xml · derivative · entry 1

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,700

Underlying: Common Stock · 65,700 shares

Expires 2030-06-07

F1 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2020 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-20-012746 · rdgdoc.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,700

Underlying: Common Stock · 65,700 shares

Expires 2030-06-07

F1 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2020 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-20-012744 · rdgdoc.xml · derivative · entry 1

Floroiu Cezar Andrei · CIK 0001808794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,720

Underlying: Common Stock · 54,720 shares

Expires 2030-04-12

F1 · date: The option grant was approved by the board of directors of Vaxart, Inc. on April 13, 2020, subject to stockholder approval of an amendment to the Vaxart, Inc. 2019 Equity Incentive Plan, under which the stock option was granted. Vaxart, Inc.'s stockholders approved the plan amendment on June 8, 2020.

F2 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of April 13, 2020, the date of the grantee's appointment as a director of Vaxart, Inc.

SEC source: 0001437749-20-012742 · rdgdoc.xml · derivative · entry 1

Echerd Margaret · CIK 0001530193 · VP, Corporate Controller, PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2030-03-23

F1 · date: The option grant was approved by the board of directors of Vaxart, Inc. on March 24, 2020, subject to stockholder approval of an amendment to the Vaxart, Inc. 2019 Equity Incentive Plan, under which the stock option was granted. Vaxart, Inc.'s stockholders approved the plan amendment on June 8, 2020.

F2 · derivative.exercise_date: The shares subject to this stock option shall vest as to 25% of the shares underlying the grant on the date of grant, and thereafter in 24 equal monthly installments commencing on the first day of the calendar month following the grant date such that the stock option shall be fully vested on April 1, 2022.

SEC source: 0001437749-20-012741 · rdgdoc.xml · derivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,000

Underlying: Common Stock · 360,000 shares

Expires 2030-03-23

F1 · date: The option grant was approved by the board of directors of Vaxart, Inc. on March 24, 2020, subject to stockholder approval of an amendment to the Vaxart, Inc. 2019 Equity Incentive Plan, under which the stock option was granted. Vaxart, Inc.'s stockholders approved the plan amendment on June 8, 2020.

F2 · derivative.exercise_date: The shares subject to this stock option shall vest as to 25% of the shares underlying the grant on the date of grant, and thereafter in 24 equal monthly installments commencing on the first day of the calendar month following the grant date such that the stock option shall be fully vested on April 1, 2022.

SEC source: 0001437749-20-012740 · rdgdoc.xml · derivative · entry 1

Latour Wouter · CIK 0001652203 · Director · President and Chief Executive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires 2030-03-23

F1 · date: The option grant was approved by the board of directors of Vaxart, Inc. on March 24, 2020, subject to stockholder approval of an amendment to the Vaxart, Inc. 2019 Equity Incentive Plan, under which the stock option was granted. Vaxart, Inc.'s stockholders approved the plan amendment on June 8, 2020.

F2 · derivative.exercise_date: The shares subject to this stock option shall vest as to 25% of the shares underlying the grant on the date of grant, and thereafter in 24 equal monthly installments commencing on the first day of the calendar month following the grant date such that the stock option shall be fully vested on April 1, 2022.

SEC source: 0000919574-20-003930 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 7,000,000

SEC source: 0000919574-20-003930 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000,000

F3 · price: This constitutes the weighted average sale price. The prices ranged from $2.71 to $2.80. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-003930 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 7,400,000

SEC source: 0000919574-20-003930 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400,000

F2 · price: This constitutes the weighted average sale price. The prices ranged from $2.74 to $2.91. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-003930 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 8,200,000

SEC source: 0000919574-20-003930 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director

Boyd Steven · CIK 0001706140 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,200,000

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-003890 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,400,000

F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-003890 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,400,000

F2 · price: This constitutes the weighted average sale price. The prices ranged from $2.60 to $2.62. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-003812 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 8,600,000

SEC source: 0000919574-20-003812 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,600,000

F3 · price: This constitutes the weighted average sale price. The prices ranged from $2.85 to $2.88. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.