SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person*
Abingworth LLP

(Last) (First) (Middle)
38 JERMYN STREET

(Street)
LONDON X0 SW1Y 6DN

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/11/2020
3. Issuer Name and Ticker or Trading Symbol
Vaxcyte, Inc. [ PCVX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (2) (2) Common Stock, $0.001 par value per share 2,185,415 0.00 I See Footnote(1)
Series B Preferred Stock (2) (2) Common Stock, $0.001 par value per share 1,217,074 0.00 I See Footnote(1)
Series C Preferred Stock (2) (2) Common Stock, $0.001 par value per share 454,812 0.00 I See Footnote(1)
Series D Preferred Stock (2) (2) Common Stock, $0.001 par value per share 298,917 0.00 I See Footnote(1)
Explanation of Responses:
1. The shares are held by Abingworth Bioventures VI LP ("Abingworth VI"). Abingworth Bioventures VI GP LP ("Abingworth GP") serves as the general partner of Abingworth VI. Abingworth General Partner VI LLP, serves as the general partner of Abingworth GP. Abingworth VI (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP ("ALLP"), all investment and dispositive power over the securities held by Abingworth VI. ALLP holds the reported securities indirectly through Abingworth VI. ALLP disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, Abingworth VI or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
2. Each share of Series A, Series B, Series C and Series D Preferred Stock is convertible into Common Stock, $0.001 par value per share ("Common Stock") on a 1:1 basis and has no expiration date. Immediately prior to the consummation of the Issuer's initial public offering, all shares of Series A, Series B, Series C and Series D Preferred Stock will be converted into shares of Common Stock for no consideration.
/s/ John Heard 06/11/2020
** 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 5 (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).
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