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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 6, 2026

Vaxcyte, Inc.

(Exact name of Registrant as Specified in Its Charter)

\n\n\n\n\n\n\n\n\n\n\n\n\n\n

Delaware

001-39323

46-4233385

(State or Other Jurisdiction

of Incorporation)

(Commission

File Number)

(IRS Employer

Identification No.)

\n\n\n\n\n\n\n\n\n\n\n\n\n\n

\n	\n
825 Industrial Road
Suite 300 San Carlos, California		94070
(Address of Principal Executive Offices)		(Zip Code)

Registrant’s Telephone Number, Including Area Code: (650) 837-0111

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

\n\n\n

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

\n\n\n

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

\n\n\n

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

\n\n\n

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

\n\n\n\n\n\n\n\n\n\n\n\n\n\n

\n	\n	\n	\n
Title of each class		Trading Symbol(s)		Name of each exchange on which registered
Common Stock, $0.001 par value per share		PCVX		The Nasdaq Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 1.01 Entry into a Material Definitive Agreement.

On October 9, 2026, Vaxcyte, Inc. (“Vaxcyte”) consummated the sale and issuance of $575,000,000 aggregate principal amount of its 1.50% Convertible Senior Notes due 2032 (the “Notes”) to certain underwriters (the “Debt Offering”). The Notes were issued pursuant to, and are governed by, an indenture (the “Base Indenture”), dated as of October 9, 2026, between Vaxcyte and U.S. Bank Trust Company, National Association, as trustee (the “Trustee”), as supplemented by a First Supplemental Indenture (the “Supplemental Indenture,” and the Base Indenture, as supplemented by the Supplemental Indenture, the “Indenture”), dated as of October 9, 2026, between Vaxcyte and the Trustee.

债券为高级无担保债务，年利率为1.50%，每半年在每年的4月15日和10月15日按欠息支付，首次支付将于2027年4月15日开始。债券将在2032年10月15日到期，除非提前回购、赎回或转换。在2032年7月15日之前，债券持有人仅在发生特定事件时才拥有转换债券的权利。从2032年7月15日起，债券持有人可在其选择下随时转换债券，直至到期日前第二个预定交易日结束时。Vaxcyte将通过支付或交付现金、其每股面值0.001美元的普通股（“普通股”）或现金和普通股的组合来结算转换，具体方式由其自行决定。初始转换率为每1000美元债券面值对应11.1607股普通股，这相当于普通股的初始转换价格约为每股89.60美元。在某些事件发生时，转换率和转换价格将按照常规进行调整。此外，如果发生构成“全额基本变更”（如契约中定义的）的特定公司事件，则在特定时间内转换率将被提高。

债券可被Vaxcyte选择全部或部分（受下文所述某些限制的约束）进行赎回（“临时赎回”），在2029年10月22日或之后以及在到期日前第20个预定交易日或之前任何时候进行，赎回价格为被赎回债券的面值加上截至但不包括赎回日的应付未付利息（如有）。但前提是，在Vaxcyte发送相关赎回通知前的交易日的前一天，普通股每股的最后报告销售价格超过转换价格的130%（x）在Vaxcyte发送相关赎回通知前的连续30个交易日（包括该交易日）内，至少有20个交易日（无论是否连续）；以及（y）在Vaxcyte发送该通知的前一个交易日。然而，除非在Vaxcyte发送相关赎回通知时，至少有7500万美元的债券面值未被要求赎回，否则Vaxcyte不得部分赎回所有未赎回的债券。此外，对任何债券进行临时赎回将构成该债券的“全额基本变更”，在这种情况下，如果该债券在被要求临时赎回后被转换，则该债券适用的转换率将在某些情况下被提高。

此外，Vaxcyte 还有权在任何时候以现金赎回（“清理赎回”）全部但不少于全部的票据，赎回价格等于所赎回票据的本金金额，加上截至但不包括赎回日的应付未付利息（如有），但前提是 Vaxcyte 发出相关赎回通知时，未偿还票据的本金金额少于债务发行中发行的票据总本金金额的 10%。对票据进行清理赎回将构成“全额补偿重大变更”，这将要求 Vaxcyte 在特定时间内在某些情况下提高转换率。

如果发生构成“重大变更”（根据契约定义）的某些公司事件，则在某些现金并购的有限例外情况下，债券持有人可要求 Vaxcyte 以现金回购其票据，回购价格等于所回购票据的本金金额，加上截至但不包括重大变更回购日的应付未付利息（如有）。重大变更的定义包括涉及 Vaxcyte 的某些业务合并交易以及与普通股相关的某些摘牌事件。

票据包含有关“违约事件”（根据契约定义）发生的常规条款。如果发生涉及 Vaxcyte 破产、无力偿债或重组事件的违约事件（且不仅仅涉及 Vaxcyte 的重要子公司），则所有未偿还票据的本金金额以及所有应付未付利息将立即到期并应付，无需任何人的进一步行动或通知。如果发生其他持续的违约事件，则受托人可通过通知 Vaxcyte，或持有当时未偿还票据总本金金额至少 25% 的债券持有人通过通知 Vaxcyte 和受托人，可立即宣布所有未偿还票据的本金金额以及所有应付未付利息到期并应付。

以上对契约和票据的描述是摘要，不完整。基础契约、补充契约以及代表票据的证明书格式分别作为本 8-K 表格的附件 4.1、4.2 和 4.3 提交，以上摘要受该附件中所述基础契约、补充契约和票据条款的约束。

项目 2.03 创建直接财务义务或注册人的一项表外安排下的义务。

本 8-K 表格第 1.01 项中所述信息已在此引用。

项目 8.01 其他事件。

在2026年10月6日，Vaxcyte与Jefferies LLC和Leerink Partners LLC（以下简称“股权承销商”）签订了承销协议（“股权承销协议”），该协议代表了其中所列的多个承销商（统称为“股权承销商”），涉及发行和销售（“股权发行”，与债务发行一起，统称为“同时发行”）7,412,500股普通股，每股公开价格为64.00美元，以及以每股公开价格63.999美元购买400,000股普通股的预付认股权证，该价格是股权发行中普通股向公众出售的价格减去0.001美元。每个预付认股权证的行权价为每股0.001美元，每个预付认股权证自发行之日起可行使至全部行权，但受所有权限制。根据股权承销协议，股权承销商同意以每股60.64美元的价格从Vaxcyte购买普通股，以每股60.639美元的价格购买预付认股权证。Vaxcyte还授予股权承销商一个30天的期权，以购买额外的1,171,875股普通股，该期权于2026年10月7日被股权承销商全部行使。股权发行中的所有股份和预付认股权证均由Vaxcyte售出。

在2026年10月6日，Vaxcyte与Jefferies LLC和Leerink Partners LLC（以下简称“债务承销商”）签订了承销协议（“债务承销协议”，与股权承销协议一起，统称为“承销协议”），该协议代表了其中所列的多个承销商（统称为“债务承销商”），同意在满足常规条件的情况下，向债务承销商发行和销售总额为5亿美元的1.50%可转换高级票据，到期日为2032年。Vaxcyte还授予债务承销商一个30天的超额配售期权，以相同条款和条件购买额外总额为7500万美元的票据，该期权于2026年10月7日被债务承销商全部行使。

从股权发行和债务发行中，Vaxcyte获得的净收益，包括股权承销商行使其30天购买额外股份的期权以及债务承销商行使其30天超额配售期权购买额外票据的收益，分别为约5.443亿美元和5.587亿美元，每种情况均在扣除承销折扣和佣金以及其他估计的由Vaxcyte支付的发行费用后。

承销协议包含Vaxcyte的常规陈述、保证和承诺，常规的交割条件，Vaxcyte、股权承销商和债务承销商的赔偿义务，包括根据《1933年证券法》（经修订）下的责任，各方的其他义务和终止条款。承销协议中的陈述、保证和承诺仅出于该协议的目的和特定日期，且仅对协议各方有利。\n

同时发行已于2026年10月9日完成。\n

股权承销协议、债务承销协议及预付认股权证的形式分别作为附件1.1、1.2和4.4提交。前述对股权承销协议、债务承销协议及预付认股权证条款的描述，均以参考本协议项下的附件为准。与股权发行和债务发行中证券发行和销售的合法性相关的Skadden, Arps, Slate, Meagher & Flom LLP的意见副本分别作为附件5.1和5.2提交。\n

每项同时发行均根据Vaxcyte的有效注册声明在表格S-3（注册声明No. 333-279735）上进行，该声明此前已提交给证券交易委员会，并为每项发行提供了相关的招股说明书和招股说明书补充材料。\n

\n\n\n

第9.01项\n

财务报表和附件。\n

（d）附件\n

\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n

\n\n	\n
附件\n 编号\n		描述\n
\n
1.1		2026年10月6日签署的承销协议（股权发行） \n
\n
1.2		2026年10月6日签署的承销协议（债务发行） \n
\n
4.1		Vaxcyte, Inc.与美国银行信托公司，国家协会作为受托人于2026年10月9日签署的信托契约 \n
\n
4.2		Vaxcyte, Inc.与美国银行信托公司，国家协会作为受托人于2026年10月9日签署的第一补充信托契约 \n
\n
4.3		2032年到期的1.50%可转换高级债券的证书形式（作为第一补充信托契约的附件A提交，该契约作为附件4.2提交） \n
\n
4.4		预付认股权证的形式（作为附件1.1提交的承销协议的附件B） \n
\n
5.1		Skadden, Arps, Slate, Meagher & Flom LLP的意见（股权发行） \n
\n
5.2		Skadden, Arps, Slate, Meagher & Flom LLP的意见（债务发行） \n
\n
23.1		Skadden, Arps, Slate, Meagher & Flom LLP的同意书（包含在附件5.1中）（股权发行） \n
\n
23.2		Skadden, Arps, Slate, Meagher & Flom LLP的同意书（包含在附件5.2中）（债务发行） \n
\n
104		封面页交互式数据文件（嵌入在Inline XBRL文档中）\n

签名\n

根据1934年证券交易法的要求，注册人已 duly 促使本报告由受托人 duly 授权签署。\n

\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n

\n\n	\n	\n\n	\n	\n\n	\n
\n		\n		VAXCYTE, INC.\n
\n	\n	\n
日期：2026年10月9日\n		\n		由：\n		/s/ Andrew Guggenhime\n
						Andrew Guggenhime\n
						总裁兼首席财务官

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