03/02/2026 | Press release | Distributed by Public on 03/02/2026 19:08
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (right to buy) | $60 | 02/26/2026 | A | 74,993 | (4) | 02/26/2036 | Common Stock | 74,993 | $ 0 | 74,993 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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GUGGENHIME ANDREW C/O VAXCYTE, INC. 825 INDUSTRIAL ROAD, STE. 300 SAN CARLOS, CA 94070 |
PRESIDENT AND CFO | |||
| Andrew Guggenhime, by /s/ Peter N. Efremenko, Attorney-In-Fact | 03/02/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Represents the number of shares of Common Stock underlying restricted stock units ("RSUs"). Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs vest as to 1/4 of the shares subject to the award on September 7, 2026 and 1/8 of the shares every six months thereafter, subject to Reporting Person's continuous service with the Issuer through each such date. |
| (2) | Represents shares surrendered to the Issuer to cover applicable tax withholding obligations realized upon the vesting of RSUs. |
| (3) | Shares are held by ALG 2025 GRAT HOLDINGS LLC, of which 100% of the limited liability company interest is owned by a grantor retained annuity trust, of which the Reporting Person is the annuitant and the trustee. |
| (4) | 1/48 of shares subject to the option vest on March 26, 2026, and 1/48 of the shares vest monthly thereafter, subject to Reporting Person's continuous service with the Issuer through each such date. |