Vaxcyte, Inc.
For the period ended Jun 30, 2026. Filed Aug 5, 2026.
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Jun 30, 2026 · Filed Aug 5, 2026
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Item 5. Other Information
Trading Arrangements
Theadoption, modification ortermination of contracts, instructions or written plans for the purchase or sale of our securities by our Section 16 officers or directors for the three months ended June 30, 2026, each of which was entered into during an open trading window and is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act (“10b5-1 Plan”), was as follows:
Harp Dhaliwal, our Chief Technical Operations Officer, adopted a 10b5-1 Plan on April 6, 2026, with an effective date of August 5, 2026. Mr. Dhaliwal’s 10b5-1 Plan provides for the potential exercise and sale of up to 68,000 shares of our common stock, and expires on August 15, 2027, or upon the earlier completion of all authorized transactions thereunder.
During the three months ended June 30, 2026, none of our other directors or Section 16 officers adopted, modified or terminated any Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (as such terms are defined in Item 408 of Regulation S-K).
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