SEC Form 3 filed by new insider Evaxion A/S
$EVAX
Biotechnology: Biological Products (No Diagnostic Substances)
Health Care
| 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*
(Street)
(Country) | 2. Date of Event Requiring Statement
(Month/Day/Year) 03/18/2026 | 3. Issuer Name and Ticker or Trading Symbol
Evaxion A/S [ EVAX ] | |||||||||||||||
| 3a. Foreign Trading Symbol
| 5. If Amendment, Date of Original Filed
(Month/Day/Year) | ||||||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| 6. Individual or Joint/Group Filing (Check Applicable Line)
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| 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) |
| Ordinary Shares | 494,410 | D | |
| Ordinary Shares | 676,620 | I | Prego Fidaco Investment(1) |
| 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 | ||||
| Warrants(2) | 12/21/2023 | 12/21/2026 | Ordinary Shares | 91,912 | $0.74 | D | |
| Warrants(3) | 01/31/2025 | 01/31/2030 | Ordinary Shares | 46,100 | $0.059 | D | |
| Warrants | 01/01/2016 | 12/31/2036 | Ordinary Shares | 100,260 | $0.1 | I | Prego Fidaco Investment(1) |
| Warrants | 01/01/2017(4) | 12/31/2036 | Ordinary Shares | 7,416 | $0.1 | D | |
| Warrants | 01/01/2017(4) | 12/31/2036 | Ordinary Shares | 14,832 | $0.1 | I | Prego Fidaco Investment(1) |
| Warrants | 01/01/2018(4) | 12/31/2036 | Ordinary Shares | 12,384 | $0.1 | D | |
| Warrants | 01/01/2018(4) | 12/31/2036 | Ordinary Shares | 4,356 | $0.1 | I | Prego Fidaco Investment(1) |
| Warrants | 01/01/2019 | 12/31/2031 | Ordinary Shares | 7,128 | $0.1 | D | |
| Warrants | 01/01/2020 | 12/31/2031 | Ordinary Shares | 7,236 | $0.1 | D | |
| Warrants | 01/01/2021 | 12/31/2031 | Ordinary Shares | 4,583 | $5.38 | D | |
| Warrants | 01/01/2022(4) | 12/31/2031 | Ordinary Shares | 5,000 | $2.23 | D | |
| Warrants | 01/01/2023(4) | 12/31/2031 | Ordinary Shares | 5,000 | $0.75 | D | |
| Warrants | 01/01/2024(4) | 12/31/2031 | Ordinary Shares | 20,000 | $0.4 | D | |
| Warrants | 01/01/2024(4) | 12/31/2031 | Ordinary Shares | 25,000 | $0.07 | D | |
| Explanation of Responses: |
| 1. Mr. Prego's father is a control person of this entity. |
| 2. Warrants pursuant to private placement that closed 12/21/2023. |
| 3. Warrants pursuant to public offering that closed 1/31/2025. |
| 4. Vesting is 1/12 per month over 12 months from the initial exercise date indicated. |
| Remarks: |
| Exhibit List - Exhibit 24.1 Power of Attorney. This initial holding statement has been made for Roberto Prego using the Issuer's CIK codes to satisfy Form 3 filing requirements. An amendment will be filed for Mr. Prego upon receipt of his CIK filer codes from the SEC. |
| /s/ Michael Baird, Attorney-in-Fact | 03/18/2026 | |
| ** 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). | ||
| 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 Number. | ||
| * Form 3: SEC 1473 (03-26) | ||