Home > Insider Trading > Filing (0001123292-18-000928)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1205922	Vaccinex Inc.	VCNX	Pharmaceutical Preparations (2834)	161603202

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1268239	Albert Friedberg	181 Bay Street, Suite 250 Toronto A6 M5J 2T3		Yes	No	Yes	No
1678258	Fcmi Parent Co.	181 Bay Street Suite 250 Toronto A6 M5J 2T3		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-08-13	439,555	$0.00	439,555	No	4	C	Direct
Common Stock	Acquisiton	2018-08-13	37,633	$0.00	37,633	No	4	C	Indirect	By Pan-Atlantic Bank & Trust Ltd.
Common Stock	Acquisiton	2018-08-13	500,570	$0.00	944,864	No	4	C	Indirect	By FCMI Parent Co.
Common Stock	Acquisiton	2018-08-13	599,957	$0.00	1,544,821	No	4	C	Indirect	By FCMI Parent Co.
Common Stock	Acquisiton	2018-08-13	204,145	$0.00	1,748,966	No	4	C	Indirect	By FCMI Parent Co.
Common Stock	Acquisiton	2018-08-13	480,822	$0.00	2,229,788	No	4	C	Indirect	By FCMI Parent Co.
Common Stock	Acquisiton	2018-08-13	683,681	$0.00	2,913,469	No	4	C	Indirect	By FCMI Parent Co.
Common Stock	Acquisiton	2018-08-13	1,875,000	$12.00	4,788,469	No	4	P	Indirect	By FCMI Parent Co.
Common Stock	Acquisiton	2018-08-13	583,333	$12.00	583,333	No	4	P	Indirect	By Global Macro Hedge Fund Ltd.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	C	Indirect	By Pan-Atlantic Bank & Trust Ltd.
No	4	C	Indirect	By FCMI Parent Co.
No	4	C	Indirect	By FCMI Parent Co.
No	4	C	Indirect	By FCMI Parent Co.
No	4	C	Indirect	By FCMI Parent Co.
No	4	C	Indirect	By FCMI Parent Co.
No	4	P	Indirect	By FCMI Parent Co.
No	4	P	Indirect	By Global Macro Hedge Fund Ltd.

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series D Convertible Preferred Stock	Disposition	2018-08-13	4,395,604	$0.00	439,555	$0.00
Common Stock	Series A Convertible Preferred Stock	Disposition	2018-08-13	376,334	$0.00	37,633	$0.00
Common Stock	Series A Convertible Preferred Stock	Disposition	2018-08-13	5,005,755	$0.00	500,570	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2018-08-13	3,655,595	$0.00	599,957	$0.00
Common Stock	Series B1 Convertible Preferred Stock	Disposition	2018-08-13	2,041,477	$0.00	204,145	$0.00
Common Stock	Series B2 Convertible Preferred Stock	Disposition	2018-08-13	3,877,641	$0.00	480,822	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2018-08-13	6,836,890	$0.00	683,681	$0.00
Common Stock	Option (Right to Acquire)	Acquisiton	2018-08-13	21,475,000	$0.00	1,800,051	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	No	4	C	Direct
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
0	No	4	C	Indirect
21,475,000	No	4	J	Indirect

Footnotes

The reported securities converted into shares of Common Stock on a 1-for-10 basis immediately prior to the consummation of the Issuer's initial public offering.
Albert D. Friedberg is the majority owner of Pan Atlantic Bank & Trust Ltd. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
The reported securities converted into shares of Common Stock on a 0.1641-for-1 basis immediately prior to the consummation of the Issuer's initial public offering.
The reported securities converted into shares of Common Stock on a 0.124-for-1 basis immediately prior to the consummation of the Issuer's initial public offering.
Mr. Friedberg possesses voting and dispositive power over the reported securities and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
Partnership interests in VX3 (DE) LP, or VX3, which are exchangeable into shares of Common Stock on a 1-for-0.05495 basis at the holder's option. On August 13, 2018, FCMI Parent Co. entered into an exchange agreement with the Issuer and the other partners of VX3 that provides each VX3 partner the right to exchange all, but not less than all, of its partnership interests in VX3 for shares of Common Stock. The option has no expiration date.