Filing Details
- Accession Number:
- 0000891839-19-000038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-18 16:30:54
- Reporting Period:
- 2019-03-14
- Accepted Time:
- 2019-03-18 16:30:54
- SEC Url:
- Form 4 Filing
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 | |
1747866 | Vaccinex (Rochester), L.l.c. | 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 | 2019-03-14 | 1,000 | $4.00 | 4,789,469 | No | 4 | P | Indirect | By FCMI Parent Co. |
Common Stock | Acquisiton | 2019-03-15 | 1,000 | $3.96 | 4,790,469 | No | 4 | P | Indirect | By FCMI Parent Co. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By FCMI Parent Co. |
No | 4 | P | Indirect | By FCMI Parent Co. |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 439,555 | Direct | |
Common Stock | 37,633 | Indirect | By Pan-Atlantic Bank & Trust Ltd. |
Common Stock | 583,333 | Indirect | By Global Macro Hedge Fund Ltd. |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Option (Right to Acquire) | $0.00 | 1,180,051 | 21,475,000 | Indirect | ||
Common Stock | Option (Right to Acquire) | $0.00 | 967,983 | 9,679,833 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
1,180,051 | 21,475,000 | Indirect | |
967,983 | 9,679,833 | Indirect |
Footnotes
- Mr. 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 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.
- The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by FCMI Parent Co. on January 23, 2019.
- 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.
- 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.
- Limited partnership units of Vaccinex Products, LP, which are exchangeable into shares of Common Stock on a 1-for-10 basis at the holder's option.
- FCMI Financial Corp. is a wholly-owned subsidiary of FCMI Parent Co. Mr. Friedberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein.