Harland John M

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: 0001209191-18-034058 · 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: 0001209191-18-010564 · 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.