Statement of Changes in Beneficial Ownership (4)

Date : 09/30/2019 @ 10:12PM
Source : Edgar (US Regulatory)
Stock : Vaxart Inc (VXRT)
Quote : 0.3131  -0.0069 (-2.16%) @ 12:59AM
After Hours
Last Trade
Last $ 0.32 ▲ 0.01 (2.20%)

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Latour Wouter
2. Issuer Name and Ticker or Trading Symbol

Vaxart, Inc. [ VXRT ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
President and Chief Executive
(Last)          (First)          (Middle)

C/O VAXART, INC., 290 UTAH AVE. SUITE 200
3. Date of Earliest Transaction (MM/DD/YYYY)

9/30/2019
(Street)

SOUTH SAN FRANCISCO, CA 94080
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common stock  9/30/2019    P    166667  A $0.30 (1) 166667  D   

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 7. Title and Amount of Securities Underlying Derivative Security
(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Common Stock Purchase Warrant  $0.30  9/30/2019    P     166667      9/30/2019  9/30/2024  Common Stock  166667  $0.30 (1) 166667  D   

Explanation of Responses:
(1)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Latour Wouter
C/O VAXART, INC.
290 UTAH AVE. SUITE 200
SOUTH SAN FRANCISCO, CA 94080
X
President and Chief Executive

Signatures
/s/ Wouter W. Latour, M.D. 9/30/2019
**Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.

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