VXRT

SEC source: 0001209191-18-010567 · doc4.xml · derivative · entry 5

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,027

Underlying: Common Stock · 4,027 shares

Expires 2020-08-27

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").

F3 · price: On August 27, 2010, Reporting Person was granted an option to purchase 200,000 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 4,027 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.

F3 · derivative.exercise_date: On August 27, 2010, Reporting Person was granted an option to purchase 200,000 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 4,027 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 4

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,014

Underlying: Common Stock · 2,014 shares

Expires 2018-03-13

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").

F2 · price: On March 13, 2008, Reporting Person was granted an option to purchase 100,000 shares of the common stock of Old Vaxart under Old Vaxart's Amended and Restated 2007 Equity Incentive Plan (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 2,014 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.

F2 · derivative.exercise_date: On March 13, 2008, Reporting Person was granted an option to purchase 100,000 shares of the common stock of Old Vaxart under Old Vaxart's Amended and Restated 2007 Equity Incentive Plan (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 2,014 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 · nonDerivative · entry 3

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

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

Disclosed balance after: 25,388

F1 · price: 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").

SEC source: 0001209191-18-010567 · doc4.xml · nonDerivative · entry 2

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 9,060

F1 · price: 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").

SEC source: 0001209191-18-010567 · doc4.xml · nonDerivative · entry 1

Tucker Sean · CIK 0001652204 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,640

F1 · price: 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").

SEC source: 0001209191-18-010565 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,651

Underlying: Common Stock · 23,651 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").

F8 · price: On June 24, 2017, Reporting Person was granted an option to purchase 1,174,729 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 23,651 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.

F8 · derivative.exercise_date: On June 24, 2017, Reporting Person was granted an option to purchase 1,174,729 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 23,651 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: 0001209191-18-010565 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,731

Underlying: Common Stock · 10,731 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").

F7 · price: On March 25, 2016, Reporting Person was granted an option to purchase 533,000 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 10,731 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 with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of March 24, 2016 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

F7 · derivative.exercise_date: On March 25, 2016, Reporting Person was granted an option to purchase 533,000 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 10,731 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 with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of March 24, 2016 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-010565 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,120

Underlying: Common Stock · 18,120 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").

F6 · price: On July 23, 2015, Reporting Person was granted an option to purchase 900,000 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 18,120 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 with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of June 30, 2015 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

F6 · derivative.exercise_date: On July 23, 2015, Reporting Person was granted an option to purchase 900,000 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 18,120 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 with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of June 30, 2015 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-010565 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,908

Underlying: Common Stock · 14,908 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").

F5 · price: On May 8, 2014, Reporting Person was granted an option to purchase 740,448 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 14,908 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). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of May 8, 2014 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

F5 · derivative.exercise_date: On May 8, 2014, Reporting Person was granted an option to purchase 740,448 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 14,908 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). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of May 8, 2014 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-010565 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,256

Underlying: Common Stock · 13,256 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").

F4 · price: On August 8, 2013, Reporting Person was granted an option to purchase 658,323 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 13,256 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 August 8, 2013, Reporting Person was granted an option to purchase 658,323 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 13,256 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: 0001209191-18-010565 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,442

Underlying: Common Stock · 9,442 shares

Expires 2021-11-03

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").

F3 · price: On November 3, 2011, Reporting Person was granted an option to purchase 468,900 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 9,442shares 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.

F3 · derivative.exercise_date: On November 3, 2011, Reporting Person was granted an option to purchase 468,900 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 9,442shares 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: 0001209191-18-010565 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,536

Underlying: Common Stock · 6,536 shares

Expires 2021-06-29

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").

F2 · price: On June 29, 2011, Reporting Person was granted an option to purchase 324,600 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 6,536 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.

F2 · derivative.exercise_date: On June 29, 2011, Reporting Person was granted an option to purchase 324,600 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 6,536 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: 0001209191-18-010564 · doc4.xml · derivative · entry 4

Harland John M · CIK 0001546788 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,047

Underlying: Common Stock · 7,047 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").

F5 · price: On June 24, 2017, Reporting Person was granted an option to purchase 350,000 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 7,047 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $4.07 (as adjusted for 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.

F5 · derivative.exercise_date: On June 24, 2017, Reporting Person was granted an option to purchase 350,000 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 7,047 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $4.07 (as adjusted for 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: 0001209191-18-010564 · doc4.xml · derivative · entry 3

Harland John M · CIK 0001546788 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,087

Underlying: Common Stock · 4,087 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").

F4 · price: On March 25, 2016, Reporting Person was granted an option to purchase 203,000 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 4,087 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $12.98 (as adjusted for Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of March 24, 2016 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

F4 · derivative.exercise_date: On March 25, 2016, Reporting Person was granted an option to purchase 203,000 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 4,087 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $12.98 (as adjusted for Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of March 24, 2016 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-010564 · doc4.xml · derivative · entry 2

Harland John M · CIK 0001546788 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,255

Underlying: Common Stock · 8,255 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").

F3 · price: On July 23, 2015, Reporting Person was granted an option to purchase 410,000 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 8,255 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $17.49 (as adjusted for Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of June 30, 2015 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

F3 · derivative.exercise_date: On July 23, 2015, Reporting Person was granted an option to purchase 410,000 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 8,255 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $17.49 (as adjusted for Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of June 30, 2015 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-010564 · doc4.xml · derivative · entry 1

Harland John M · CIK 0001546788 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,563

Underlying: Common Stock · 9,563 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").

F2 · price: On May 8, 2014, Reporting Person was granted an option to purchase 475,000 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 9,563 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $8.03 (as adjusted for Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of March 24, 2014 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

F2 · derivative.exercise_date: On May 8, 2014, Reporting Person was granted an option to purchase 475,000 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 9,563 shares of the Issuer's common stock (as adjusted for Stock Split) at a per share exercise price of $8.03 (as adjusted for Stock Split). The option vests with respect to 25% of the underlying shares on the first anniversary of the vesting commencement date of March 24, 2014 and with respect to the remaining shares underlying the option in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-010563 · doc4.xml · nonDerivative · entry 1

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,978

F1 · price: 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.

SEC source: 0001140361-18-008684 · doc1.xml · nonDerivative · entry 1

Care Capital III LLC · CIK 0001599356 · 10% owner

Care Capital Investments III L.P. · CIK 0001599355 · 10% owner

Care Capital Offshore Investments III LP · CIK 0001599354 · 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: 30,793,670

F1 · price: Consists of 30,793,670 aggregate shares of Aviragen Therapeutics, Inc. ("Aviragen") common stock received by Care Capital Investments III, LP ("Investments III") and Care Capital Offshore Investments III, LP ("Offshore III") upon conversion of shares of Vaxart, Inc. ("Vaxart") in connection with the merger of Vaxart into Agora Merger Sub, Inc., a wholly owned subsidiary of Aviragen (the "Merger"). In connection with the closing of the Merger, each share of Vaxart common stock was converted into 0.2211 shares of Aviragen common stock. On the closing date of the Merger, the closing price of Aviragen's common stock was $0.82 per share. Following the Merger, Aviragen effected a reverse stock split at a ratio of one new share for every eleven shares of Aviragen common stock outstanding. The effects of such reverse stock split is not reflected here.

F2 · ownership.nature: Consists of (i) 30,287,856 shares held by Investments III and (ii) 505,814 shares held by Offshore III. Care Capital III LLC is the general partner of Investments III LP and Offshore III (collectively, "Care Capital") and as a result, Care Capital III LLC has the ultimate power to vote or direct the vote and to dispose or direct the disposition of such shares. The Richard Markham, Jan Leschly, Jerry N. Karabelas and David R. Ramsay are the four managing members at Care Capital III LLC, and in their capacity as such, may be deemed to exercise shared voting and investment power over the shares held by Care Capital, each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001140361-18-008683 · doc1.xml · nonDerivative · entry 1

Markham Richard J · CIK 0001362743 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,793,670

F1 · price: Consists of 30,793,670 aggregate shares of Aviragen Therapeutics, Inc. ("Aviragen") common stock received by Care Capital Investments III, LP ("Investments III") and Care Capital Offshore Investments III, LP ("Offshore III") upon conversion of shares of Vaxart, Inc. ("Vaxart") in connection with the merger of Vaxart into Agora Merger Sub, Inc., a wholly owned subsidiary of Aviragen (the "Merger"). In connection with the closing of the Merger, each share of Vaxart common stock was converted into 0.2211 shares of Aviragen common stock. On the closing date of the Merger, the closing price of Aviragen's common stock was $0.82 per share. Following the Merger, Aviragen effected a reverse stock split at a ratio of one new share for every eleven shares of Aviragen common stock outstanding. The effects of such reverse stock split is not reflected here.

F2 · ownership.nature: Consists of (i) 30,287,856 shares held by Investments III and (ii) 505,814 shares held by Offshore III. Care Capital III LLC is the general partner of Investments III LP and Offshore III (collectively, "Care Capital") and as a result, Care Capital III LLC has the ultimate power to vote or direct the vote and to dispose or direct the disposition of such shares. The reporting person, Jan Leschly, Jerry N. Karabelas and David R. Ramsay are the four managing members at Care Capital III LLC, and in their capacity as such, may be deemed to exercise shared voting and investment power over the shares held by Care Capital. The reporting person is a managing member of Care Capital III LLC, and serves as a representative of Care Capital on Aviragen's board of directors. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001140361-18-008682 · doc1.xml · nonDerivative · entry 1

LESCHLY JAN · CIK 0001204568 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,793,670

F1 · price: Consists of 30,793,670 aggregate shares of Aviragen Therapeutics, Inc. ("Aviragen") common stock received by Care Capital Investments III, LP ("Investments III") and Care Capital Offshore Investments III, LP ("Offshore III") upon conversion of shares of Vaxart, Inc. ("Vaxart") in connection with the merger of Vaxart into Agora Merger Sub, Inc., a wholly owned subsidiary of Aviragen (the "Merger"). In connection with the closing of the Merger, each share of Vaxart common stock was converted into 0.2211 shares of Aviragen common stock. On the closing date of the Merger, the closing price of Aviragen's common stock was $0.82 per share. Following the Merger, Aviragen effected a reverse stock split at a ratio of one new share for every eleven shares of Aviragen common stock outstanding. The effects of such reverse stock split is not reflected here.

F2 · ownership.nature: Consists of (i) 30,287,856 shares held by Investments III and (ii) 505,814 shares held by Offshore III. Care Capital III LLC is the general partner of Investments III LP and Offshore III (collectively, "Care Capital") and as a result, Care Capital III LLC has the ultimate power to vote or direct the vote and to dispose or direct the disposition of such shares. The reporting person, Richard Markham, Jerry N. Karabelas and David R. Ramsay are the four managing members at Care Capital III LLC, and in their capacity as such, may be deemed to exercise shared voting and investment power over the shares held by Care Capital. The reporting person is a managing member of Care Capital III LLC, and serves as a representative of Care Capital on Aviragen's board of directors. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-19-007704 · doc4a.xml · nonDerivative · entry 1

Finney Michael J. · CIK 0001650978 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,796

F1 · shares: Reflects additional shares not previously included in the reporting person's Form 4, filed with the SEC on February 15, 2018. These shares were also omitted from Form 4 filed by the reporting person with the SEC on June 8, 2018.

F2 · price: 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.

SEC source: 0001437749-17-009781 · rdgdoc.xml · derivative · entry 1

VANLENT ANNE · CIK 0001229243 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 20,000 shares

Expires 2027-05-18

SEC source: 0001437749-17-009786 · rdgdoc.xml · derivative · entry 1

COX GEOFFREY F · CIK 0001021014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,332

Underlying: Common Stock · 20,000 shares

Expires 2027-05-18

SEC source: 0001437749-17-009787 · rdgdoc.xml · derivative · entry 1

ANIDO ARMANDO · CIK 0001219866 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 20,000 shares

Expires 2027-05-18

SEC source: 0001437749-17-009785 · rdgdoc.xml · derivative · entry 1

DOUGHERTY MICHAEL R · CIK 0001033516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 20,000 shares

Expires 2027-05-18

SEC source: 0001437749-17-009784 · rdgdoc.xml · derivative · entry 1

Dunne Michael W. · CIK 0001553593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 20,000 shares

Expires 2027-05-18

SEC source: 0001437749-17-009783 · rdgdoc.xml · derivative · entry 1

Richard John P · CIK 0001296528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 20,000 shares

Expires 2027-05-18

SEC source: 0001437749-17-009782 · rdgdoc.xml · derivative · entry 1

PLUMB RUSSELL H · CIK 0001283216 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622,453

Underlying: Common Stock · 20,000 shares

Expires 2027-05-18

SEC source: 0001437749-17-006118 · rdgdoc.xml · derivative · entry 1

COLONNESE MARK P · CIK 0001040766 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 775,000

Underlying: Common Stock · 400,000 shares

Expires 2027-04-03

F1 · derivative.exercise_date: This stock option vests as follows: 33% of the total stock option vests six (6) months after the grant date, on October 3, 2017 and the remainder of the stock option vests in equal monthly installments beginning November 3, 2017 to April 3, 2018.

SEC source: 0001437749-17-006117 · rdgdoc.xml · derivative · entry 1

PATTI JOSEPH M · CIK 0001283215 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,113,304

Underlying: Common Stock · 650,000 shares

Expires 2027-04-03

F1 · derivative.exercise_date: This stock option vests as follows: 33% of the total stock option vests six (6) months after the grant date, on October 3, 2017 and the remainder of the stock option vests in equal monthly installments beginning November 3, 2017 to April 3, 2018.