Filing Details

Accession Number:
0000891839-20-000033
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-01-27 16:24:36
Reporting Period:
2020-01-23
Accepted Time:
2020-01-27 16:24:36
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
1748346 B. Jacob Frieberg C/O Vaccinex, Inc.
1895 Mount Hope Avenue
Rochester NY 14620
Yes No No 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 2020-01-23 39,292 $5.09 39,292 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
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 4,420 44,200 Direct
Common Stock Option (Right to Acquire) $0.00 4,420 44,200 Indirect
Common Stock Option (Right to Acquire) $0.00 4,121 75,000 Indirect
Common Stock Stock Option (Right to Buy) $13.60 2027-09-15 6,396 6,396 Direct
Common Stock Stock Option (Right to Buy) $5.26 2029-03-30 2,501 2,501 Direct
Common Stock Stock Option (Right to Buy) $7.78 2020-05-15 7,718 7,718 Direct
Common Stock Stock Option (Right to Buy) $5.52 2019-06-30 2029-06-29 2,385 2,385 Direct
Common Stock Stock Option (Right to Buy) $7.17 2019-09-30 2029-09-27 1,856 1,856 Direct
Common Stock Stock Option (Right to Buy) $4.85 2019-12-31 2029-12-28 2,737 2,737 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
4,420 44,200 Direct
4,420 44,200 Indirect
4,121 75,000 Indirect
2027-09-15 6,396 6,396 Direct
2029-03-30 2,501 2,501 Direct
7,718 7,718 Direct
2029-06-29 2,385 2,385 Direct
2029-09-27 1,856 1,856 Direct
2029-12-28 2,737 2,737 Direct
Footnotes
  1. Limited partnership units of Vaccinex Products, LP, which are presently exchangeable into shares of Common Stock on a 1-for-10 basis at the holder's option.
  2. Mr. Frieberg's spouse is the owner of Benbow Estates, Ltd. and Mr. Frieberg is an officer of Benbow Estates, Ltd. Mr. Frieberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
  3. Partnership interests in VX3 (DE) LP, or VX3, which are presently exchangeable into shares of Common Stock on a 1-for-0.05495 basis at the holder's option. On August 13, 2018, Gee Eff Services Limited 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.
  4. Mr. Frieberg is the sole owner and President of Gee Eff Services Limited.
  5. Exercisable in full as of the date of this report.
  6. This option was granted pursuant to the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and expires on May 14, 2029 or five years following retirement or cessation of services, whichever occurs first.