Latour Wouter

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: 0001437749-21-005145 · 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: 0001437749-20-017670 · 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: 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: 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: 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: 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: 0001209191-18-010565 · 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.