Vaxcyte, Inc. — Director's Dealing 2020

Jun 17, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Vaxcyte, Inc. (PCVX)
CIK: 0001649094
Period of Report: 2020-06-16

Reporting Person: Hopfner Robert Lorne (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-06-16	Common Stock	C	1692494	—	Acquired	1692494	Indirect
2020-06-16	Common Stock	C	226236	—	Acquired	1918730	Indirect
2020-06-16	Common Stock	C	211237	—	Acquired	2129967	Indirect
2020-06-16	Common Stock	P	93000	$16.00	Acquired	2222967	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-06-16	Series B Preferred Stock	$	C	1692494	Disposed		Common Stock (1692494)	Indirect
2020-06-16	Series C Preferred Stock	$	C	226236	Disposed		Common Stock (226236)	Indirect
2020-06-16	Series D Preferred Stock	$	C	211237	Disposed		Common Stock (211237)	Indirect

Footnotes

F1: The Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date.

F2: The shares are held of record by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The general partner of Pivotal is Pivotal bioVenture Partners Fund I G.P., L.P., ("Pivotal GP"). The general partner of Pivotal GP is Pivotal bioVenture Partners Fund I U.G.P., Ltd, (the "Ultimate General Partner"). The board of directors of the Ultimate General Partner may, along with the Ultimate General Partner, be deemed to have shared voting and dispositive power over the shares owned by Pivotal. Rob Hopfner is the managing partner of Pivotal bioVenture Partners Investment Advisor LLC and may be deemed to share voting and investment power over the shares held directly by Pivotal bioVenture Partners. Mr. Hopfner disclaims beneficial ownership over such shares except to the extent of any pecuniary interest therein.

F3: The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date.

F4: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date.