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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.