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
- 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.
- 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.
- 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.
- Mr. Frieberg is the sole owner and President of Gee Eff Services Limited.
- Exercisable in full as of the date of this report.
- 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.