Vaxcyte Inc

For the period ended Dec 31, 2023. Filed Feb 27, 2024.

About this filing

A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.

FY2023 · Filed Feb 27, 2024

PCVX$67.53+5.7%Stored close · as of Nov 9, 2026

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Contents

Item 16. Form 10-K Summary

None.

Exhibit Index

		Incorporated by Reference
Exhibit	Description	Schedule/Form	File Number	Exhibits	Filing Date

3.1	Amended and Restated Certificate of Incorporation of Vaxcyte, Inc., as amended	8-K	001-39323	3.1	June 16, 2020
3.2	Amended and Restated Bylaws of Vaxcyte, Inc., as amended.	10-Q	001-39323	3.2	November 6, 2023
4.1	Form of Common Stock Certificate of the Registrant	S-1/A	333-238630	4.1	June 8, 2020
4.2	Description of Capital Stock.	10-K	001-39323	4.2	March 29, 2021
4.3	Form of Pre-Funded Warrant.	8-K	001-39323	4.1	January 13, 2022
4.4	Form of Pre-Funded Warrant.	8-K	001-39323	4.1	October 27, 2022
4.5	Form of Pre-Funded Warrant.	8-K	001-39323	4.1	April 20, 2023
4.6	Form of Pre-Funded Warrant.	8-K	001-39323	4.1	January 31, 2024
10.1#	Vaxcyte, Inc. Amended and Restated 2014 Equity Incentive Plan and forms of agreements thereunder.	S-1	333-238630	10.2	May 22, 2020
10.2#	Vaxcyte, Inc. 2020 Equity Incentive Plan.	10-Q	001-39323	10.1	August 8, 2023
10.3#	Form of Stock Option Grant Notice and Stock Option Agreement (2020 Equity Incentive Plan).	10-Q	001-39323	10.2	August 8, 2023
10.4#	Form of Restricted Stock Unit Grant Notice (2020 Equity Incentive Plan).	10-Q	001-39323	10.2	May 9, 2022
10.5#	Vaxcyte, Inc. 2020 Employee Stock Purchase Plan.	S-1/A	333-238630	10.4	June 8, 2020
10.6	Form of Indemnification Agreement entered into by and between the Registrant and each director and executive officer.	S-1	333-238630	10.5	May 22, 2020
10.7#	Executive Employment Agreement entered into by and between the Registrant and Grant Pickering, dated January 21, 2016.	S-1	333-238630	10.6	May 22, 2020

Incorporated by Reference
Exhibit	Description	Schedule/Form	File Number	Exhibits	Filing Date
10.8#	Executive Employment Agreement entered into by and between the Registrant and Jim Wassil, dated November 15, 2019.	S-1	333-238630	10.11	May 22, 2020
10.9#	Offer Letter entered into by and between the Registrant and Andrew Guggenhime, dated April 16, 2020.	S-1	333-238630	10.13	May 22, 2020
10.10#	Offer Letter entered into by and between the Registrant and Mikhail Eydelman, dated March 4, 2022.	10-Q	001-39323	10.1	May 9, 2022
10.11#	Form of Executive Change in Control and Severance Agreement entered into by and between the Registrant and each eligible employee.	S-1	333-238630	10.14	May 22, 2020
10.12+†	Master Services Agreement for Drug Product Development and Manufacturing between Registrant and Lonza Ltd., dated March 22, 2022, as amended.				X
10.13+†	Development and Manufacturing Services Agreement by and between the Registrant and Lonza Ltd., dated March 1, 2023.	10-Q	001-39323	10.1	May 8, 2023
10.14+†	Commercial Manufacturing and Supply Agreement by and between the Registrant and Lonza Ltd., dated October 13, 2023.				X

Incorporated by Reference
Exhibit	Description	Schedule/Form	File Number	Exhibits	Filing Date
10.15+†	Amended and Restated SutroVax Agreement by and between the Registrant and Sutro Biopharma, Inc., dated October 12, 2015, as amended.	S-1	333-238630	10.18	May 22, 2020
10.16+†	Third Amendment to Amended and Restated SutroVax Agreement by and between Sutro Biopharma, Inc. and the Registrant, dated September 28, 2023.	10-Q	001-39323	10.3	November 6, 2023
10.17+†	Supply Agreement by and between the Registrant and Sutro Biopharma, Inc., dated May 29, 2018, as amended.	10-K	001-39323	10.19	February 27, 2023
10.18+†	Option Grant Agreement by and between Registrant and Sutro Biopharma, Inc., dated December 19, 2022.	10-K	001-39323	10.20	February 27, 2023
10.19+†	Manufacturing Rights Agreement by and between the Registrant and Sutro Biopharma, Inc., dated November 21, 2023.				X
10.20+†	License Agreement by and between the Registrant and The Regents of the University of California, represented by its San Diego campus, dated February 4, 2019.	S-1	333-238630	10.20	May 22, 2020
10.21	First Amendment to License Agreement by and between the Registrant and The Regents of the University of California, represented by its San Diego campus, dated August 16, 2019.				X
10.22+†	Lease Agreement by and between the Registrant and ARE-San Francisco No. 63, LLC, dated as of January 21, 2021	8-K	001-39323	10.1	January 25, 2021
10.23	First Amendment to Lease Agreement by and between the Registrant and ARE-San Francisco No. 63, LLC, dated October 17, 2023.				X

Incorporated by Reference
Exhibit	Description	Schedule/Form	File Number	Exhibits	Filing Date
10.24+†	Assignment and Assumption of Lease Agreement by and between the Registrant and Codexis, Inc., dated September 1, 2023.	10-Q	001-39323	10.1	November 6, 2023
10.25†	Consent to Assignment and First Amendment by and among ARE-San Francisco No. 63, LLC, Codexis, Inc. and the Registrant, dated September 6, 2023.	10-Q	001-39323	10.2	November 6, 2023
10.26#	Form of Non-U.S. Stock Option Grant Notice and Stock Option Agreement (2020 Equity Incentive Plan).				X
10.27#	Form of Non. U.S. Restricted Stock Unit Grant Notice (2020 Equity Incentive Plan).				X
21.1	Subsidiary of Registrant.				X
23.1	Consent of Independent Registered Public Accounting Firm.				X
24.1	Power of Attorney. Reference is made to the signature page hereto.				X
31.1	Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as amended.				X
31.2	Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as amended.				X
32.1*	Certification of Principal Executive Officer and Principal Financial Officer Pursuant to 13a-14(b) or 15d-14(b) of the Securities Exchange Act, as amended, and 18 U.S.C. Section 1350.				X
97.1	Incentive Compensation Recoupment Policy.				X

		Incorporated by Reference
Exhibit	Description	Schedule/Form	File Number	Exhibits	Filing Date
101.INS	Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document.				X
101.SCH	Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents Documents.				X
104	Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101).				X

X Filed herewith.

Pursuant to Item 601(b)(10)(iv) of Regulation S-K, certain portions of this exhibit have been omitted (indicated by “[***]”) because we have determined that the information is not material and is the type that we treat as private or confidential.

† Schedules and exhibits to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K. A copy of any omitted schedule or exhibit will be furnished to the SEC upon request; provided, however, that we may request confidential treatment pursuant to Rule 24b-2 of the Exchange Act for any schedule or exhibit so furnished.

The certification attached as Exhibit 32.1 that accompanies this Annual Report on Form 10-K is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933 (as amended, the “Securities Exchange Act of 1934”), whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.

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