VXRT

SEC source: 0000919574-19-006208 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 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: 24,436,000

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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006208 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,436,000

F4 · price: This constitutes the weighted average purchase price. The prices range from $0.33 to $0.36. 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 purchased 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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006208 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 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: 24,207,280

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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006208 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,207,280

F3 · price: This constitutes the weighted average purchase price. The prices range from $0.35 to $0.36. 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 purchased 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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006208 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 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: 24,183,367

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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006208 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,183,367

F2 · price: This constitutes the weighted average purchase price. The prices range from $0.34 to $0.36. 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 purchased 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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006126 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 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: 24,000,000

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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006126 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000,000

F4 · price: This constitutes the weighted average purchase price. The prices range from $0.29 to $0.36. 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 purchased 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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-19-019280 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 166,667 shares

Expires 2024-09-30

F1 · price: Each share of common stock was purchased together with a common warrant to purchase one share of the Issuer's common stock at the combined purchase price of $0.30. The Reporting Person may not exercise any portion of the common warrant to the extent that he would beneficially own more than 4.99% of the outstanding common stock immediately after exercise, except that upon at least 61 days' prior notice from the Reporting Person to the Issuer, he may increase the amount of beneficial ownership of outstanding stock after exercising his common warrants up to 9.99% of the number of shares of the Issuer's common stock outstanding immediately after giving effect to the exercise, as such percentage ownership is determined in accordance with the terms of the common warrants.

SEC source: 0001437749-19-019280 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

F1 · price: Each share of common stock was purchased together with a common warrant to purchase one share of the Issuer's common stock at the combined purchase price of $0.30. The Reporting Person may not exercise any portion of the common warrant to the extent that he would beneficially own more than 4.99% of the outstanding common stock immediately after exercise, except that upon at least 61 days' prior notice from the Reporting Person to the Issuer, he may increase the amount of beneficial ownership of outstanding stock after exercising his common warrants up to 9.99% of the number of shares of the Issuer's common stock outstanding immediately after giving effect to the exercise, as such percentage ownership is determined in accordance with the terms of the common warrants.

SEC source: 0000919574-19-006126 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 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: 22,399,624

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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006126 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,399,624

F3 · price: This constitutes the weighted average purchase price. The prices range from $0.27 to $0.31. 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 purchased 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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006126 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 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: 21,426,981

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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-19-006126 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

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

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,426,981

F2 · price: This constitutes the weighted average purchase price. The prices range from $0.27 to $0.30. 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 purchased 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 interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-19-012107 · rdgdoc.xml · derivative · entry 2

VANLENT ANNE · CIK 0001229243 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,700

Underlying: Common Stock · 12,700 shares

Expires 2029-06-11

F2 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-19-012107 · rdgdoc.xml · derivative · entry 1

VANLENT ANNE · CIK 0001229243 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2029-06-11

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.).

SEC source: 0001437749-19-012102 · rdgdoc.xml · derivative · entry 2

Markham Richard J · CIK 0001362743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,700

Underlying: Common Stock · 12,700 shares

Expires 2029-06-11

F2 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-19-012102 · rdgdoc.xml · derivative · entry 1

Markham Richard J · CIK 0001362743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2029-06-11

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.).

SEC source: 0001437749-19-012101 · rdgdoc.xml · derivative · entry 2

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,700

Underlying: Common Stock · 12,700 shares

Expires 2029-06-11

F2 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-19-012101 · rdgdoc.xml · derivative · entry 1

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2029-06-11

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.).

SEC source: 0001437749-19-012100 · rdgdoc.xml · derivative · entry 2

COX GEOFFREY F · CIK 0001021014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,700

Underlying: Common Stock · 12,700 shares

Expires 2029-06-11

F2 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-19-012100 · rdgdoc.xml · derivative · entry 1

COX GEOFFREY F · CIK 0001021014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2029-06-11

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.).

SEC source: 0001437749-19-012099 · rdgdoc.xml · derivative · entry 2

Richard John P · CIK 0001296528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,700

Underlying: Common Stock · 12,700 shares

Expires 2029-06-11

F2 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-19-012099 · rdgdoc.xml · derivative · entry 1

Richard John P · CIK 0001296528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2029-06-11

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.).

SEC source: 0001209191-19-029716 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,444

Underlying: Common Stock · 70,444 shares

Expires 2029-05-11

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 May 10, 2019, and the remaining shares subject to the option vesting in equal monthly installments over the next 36 months.

SEC source: 0001209191-19-029721 · doc4.xml · derivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,061

Underlying: Common Stock · 124,061 shares

Expires 2029-05-11

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 May 10, 2019, and the remaining shares subject to the option vesting in equal monthly installments over the next 36 months.

SEC source: 0001209191-19-029720 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,261

Underlying: Common Stock · 363,261 shares

Expires 2029-05-11

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 May 10, 2019, and the remaining shares subject to the option vesting in equal monthly installments over the next 36 months.

SEC source: 0001437749-19-007119 · rdgdoc.xml · derivative · entry 4

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By joint tenancy with Frances Chang and Sean Tucker

Disclosed balance after: 27,273

Underlying: Common Stock · 27,273 shares

Expires 2024-04-11

F1 · price: Each share of common stock was purchased together with a common warrant to purchase one share of the Issuer's common stock at the combined purchase price of $1.10. The Reporting person may not exercise any portion of the common warrant to the extent that he would beneficially own more than 4.99% of the outstanding common stock immediately after exercise, except that upon at least 61 days' prior notice from the Reporting Person to the Issuer, he may increase the amount of beneficial ownership of outstanding stock after exercising his common warrants up to 9.99% of the number of shares of the Issuer's common stock outstanding immediately after giving effect to the exercise, as such percentage ownership is determined in accordance with the terms of the common warrants.

SEC source: 0001437749-19-007119 · rdgdoc.xml · nonDerivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By joint tenancy with Frances Chang and Sean Tucker

Disclosed balance after: 52,661

F1 · price: Each share of common stock was purchased together with a common warrant to purchase one share of the Issuer's common stock at the combined purchase price of $1.10. The Reporting person may not exercise any portion of the common warrant to the extent that he would beneficially own more than 4.99% of the outstanding common stock immediately after exercise, except that upon at least 61 days' prior notice from the Reporting Person to the Issuer, he may increase the amount of beneficial ownership of outstanding stock after exercising his common warrants up to 9.99% of the number of shares of the Issuer's common stock outstanding immediately after giving effect to the exercise, as such percentage ownership is determined in accordance with the terms of the common warrants.

SEC source: 0001437749-19-007107 · rdgdoc.xml · derivative · entry 2

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,818

Underlying: Common Stock · 181,818 shares

Expires 2024-04-11

F1 · price: Each share of common stock was purchased together with a common warrant to purchase one share of the Issuer's common stock at the combined purchase price of $1.10. The Reporting person may not exercise any portion of the common warrant to the extent that he would beneficially own more than 4.99% of the outstanding common stock immediately after exercise, except that upon at least 61 days' prior notice from the Reporting Person to the Issuer, he may increase the amount of beneficial ownership of outstanding stock after exercising his common warrants up to 9.99% of the number of shares of the Issuer's common stock outstanding immediately after giving effect to the exercise, as such percentage ownership is determined in accordance with the terms of the common warrants.

SEC source: 0001437749-19-007107 · rdgdoc.xml · nonDerivative · entry 1

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 452,572

F1 · price: Each share of common stock was purchased together with a common warrant to purchase one share of the Issuer's common stock at the combined purchase price of $1.10. The Reporting person may not exercise any portion of the common warrant to the extent that he would beneficially own more than 4.99% of the outstanding common stock immediately after exercise, except that upon at least 61 days' prior notice from the Reporting Person to the Issuer, he may increase the amount of beneficial ownership of outstanding stock after exercising his common warrants up to 9.99% of the number of shares of the Issuer's common stock outstanding immediately after giving effect to the exercise, as such percentage ownership is determined in accordance with the terms of the common warrants.

SEC source: 0001209191-18-052088 · doc4.xml · nonDerivative · entry 1

Harland John M · CIK 0001546788 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 761

F1 · kind: Reflects a pro rata distribution by Life Science Angel Investors II, LLC and LSA Investors Side Fund 2006, LLC to their limited partners.

SEC source: 0001209191-19-007705 · doc4.xml · nonDerivative · entry 1

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,754

F1 · kind: Reflects a pro rata distribution by Life Science Angel Investors II, LLC and LSA Investors Side Fund 2006, LLC to their limited partners.

SEC source: 0001209191-18-036746 · doc4.xml · nonDerivative · entry 5

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,978

SEC source: 0001209191-18-036746 · doc4.xml · nonDerivative · entry 4

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,178

SEC source: 0001209191-18-036746 · doc4.xml · nonDerivative · entry 3

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,043

SEC source: 0001209191-18-036746 · doc4.xml · nonDerivative · entry 2

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,978

SEC source: 0001209191-18-036746 · doc4.xml · nonDerivative · entry 1

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,978

SEC source: 0001209191-18-034058 · doc4.xml · derivative · entry 1

Harland John M · CIK 0001546788 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2028-05-24

F1 · derivative.exercise_date: The shares subject to this Option shall vest as follows: 1/4th of the total number of shares subject to the Option shall vest on the day preceding the 12-month anniversary of the vesting commencement date of February 13, 2018 and 1/48th of the total number of shares subject to the Option shall vest on the day preceding each monthly anniversary of the vesting commencement date thereafter.

SEC source: 0001209191-18-034056 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,700

Underlying: Common Stock · 110,700 shares

Expires 2028-05-24

F1 · derivative.exercise_date: The shares subject to this Option shall vest as follows: 1/4th of the total number of shares subject to the Option shall vest on the day preceding the 12-month anniversary of the vesting commencement date of February 13, 2018 and 1/48th of the total number of shares subject to the Option shall vest on the day preceding each monthly anniversary of the vesting commencement date thereafter.

SEC source: 0001209191-18-034055 · doc4.xml · derivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2028-05-24

F1 · derivative.exercise_date: The shares subject to this Option shall vest as follows: 1/4th of the total number of shares subject to the Option shall vest on the day preceding the 12-month anniversary of the vesting commencement date of February 13, 2018 and 1/48th of the total number of shares subject to the Option shall vest on the day preceding each monthly anniversary of the vesting commencement date thereafter.

SEC source: 0001209191-18-019742 · doc4.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 · 2,013 shares

Expires 2018-03-13

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: 0001209191-18-019742 · doc4.xml · nonDerivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,653

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: 0001209191-18-010567 · doc4.xml · derivative · entry 12

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,060

Underlying: Common Stock · 9,060 shares

Expires 2027-06-24

F1 · kind: Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").

F10 · price: On June 24, 2017, Reporting Person was granted an option to purchase 450,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.08 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 9,060 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $4.07 (as adjusted for the Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of June 14, 2017 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

F10 · derivative.exercise_date: On June 24, 2017, Reporting Person was granted an option to purchase 450,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.08 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 9,060 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $4.07 (as adjusted for the Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of June 14, 2017 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-010567 · doc4.xml · derivative · entry 11

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,731

Underlying: Common Stock · 7,731 shares

Expires 2026-03-25

F1 · kind: Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").

F9 · price: On March 25, 2016, Reporting Person was granted an option to purchase 384,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.26 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 7,731 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $12.98 (as adjusted for the Stock Split). The option vests in 48 equal monthly installments beginning from March 25, 2016.

F9 · derivative.exercise_date: On March 25, 2016, Reporting Person was granted an option to purchase 384,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.26 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 7,731 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $12.98 (as adjusted for the Stock Split). The option vests in 48 equal monthly installments beginning from March 25, 2016.

SEC source: 0001209191-18-010567 · doc4.xml · derivative · entry 10

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,067

Underlying: Common Stock · 10,067 shares

Expires 2025-07-23

F1 · kind: Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").

F8 · price: On July 23, 2015, Reporting Person was granted an option to purchase 500,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.35 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 10,067 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $17.49 (as adjusted for the Stock Split). The option vests in 48 equal monthly installments beginning from July 1, 2015.

F8 · derivative.exercise_date: On July 23, 2015, Reporting Person was granted an option to purchase 500,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.35 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 10,067 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $17.49 (as adjusted for the Stock Split). The option vests in 48 equal monthly installments beginning from July 1, 2015.

SEC source: 0001209191-18-010567 · doc4.xml · derivative · entry 9

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,604

Underlying: Common Stock · 11,604 shares

Expires 2024-05-08

F1 · kind: Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").

F7 · price: On May 8, 2014, Reporting Person was granted an option to purchase 576,338 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.16 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 11,604 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $8.03 (as adjusted for the Stock Split). This option is fully vested.

F7 · derivative.exercise_date: On May 8, 2014, Reporting Person was granted an option to purchase 576,338 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.16 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 11,604 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $8.03 (as adjusted for the Stock Split). This option is fully vested.

SEC source: 0001209191-18-010567 · doc4.xml · derivative · entry 8

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,523

Underlying: Common Stock · 10,523 shares

Expires 2023-08-08

F1 · kind: Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").

F6 · price: On August 8, 2013, Reporting Person was granted an option to purchase 522,676 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 10,523 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.

F6 · derivative.exercise_date: On August 8, 2013, Reporting Person was granted an option to purchase 522,676 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 10,523 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.

SEC source: 0001209191-18-010567 · doc4.xml · derivative · entry 7

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,020

Underlying: Common Stock · 3,020 shares

Expires 2022-04-13

F1 · kind: Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").

F5 · price: On April 13, 2012, Reporting Person was granted an option to purchase 150,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.16 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 3,020 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $8.03 (as adjusted for the Stock Split). This option is fully vested.

F5 · derivative.exercise_date: On April 13, 2012, Reporting Person was granted an option to purchase 150,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.16 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 3,020 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $8.03 (as adjusted for the Stock Split). This option is fully vested.

SEC source: 0001209191-18-010567 · doc4.xml · derivative · entry 6

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,006

Underlying: Common Stock · 1,006 shares

Expires 2021-03-30

F1 · kind: Shares of common stock of the corporation then known as Vaxart Biosciences, Inc. ("Old Vaxart") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of October 27, 2017, by and among the Issuer, Agora Merger Sub, Inc. and Old Vaxart (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into approximately 0.221 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 11 shares of common stock outstanding (the "Stock Split").

F4 · price: On March 30, 2011, Reporting Person was granted an option to purchase 50,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 1,006 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.

F4 · derivative.exercise_date: On March 30, 2011, Reporting Person was granted an option to purchase 50,000 shares of the common stock of Old Vaxart under the Plan at an exercise price of $0.13 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 1,006 shares of the Issuer's common stock (as adjusted for the Stock Split) at a per share exercise price of $6.49 (as adjusted for the Stock Split). This option is fully vested.