Filing Details
- Accession Number:
- 0001062993-23-019063
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-10-05 16:31:37
- Reporting Period:
- 2023-10-03
- Accepted Time:
- 2023-10-05 16:31:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1747753 | Maurice Zauderer | C/O Vaccinex, Inc. 1895 Mount Hope Avenue Rochester NY 14620 | President And Ceo | Yes | Yes | Yes | No |
| 1747866 | Vaccinex (Rochester), L.l.c. | 44 Woodland Road Pittsford NY 14534 | 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 | 2023-10-03 | 500,000 | $1.00 | 979,599 | No | 4 | P | Indirect | By Vaccinex (Rochester), L.L.C. |
| Common Stock | Acquisiton | 2023-10-03 | 5,000 | $0.93 | 17,116 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2023-10-04 | 5,000 | $0.97 | 22,116 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Vaccinex (Rochester), L.L.C. |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (Right to Buy) | Acquisiton | 2023-10-03 | 500,000 | $1.00 | 500,000 | $1.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 500,000 | 2023-10-03 | 2028-10-03 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 12,116 | Direct | |
| Common Stock | 14,214 | Indirect | By Jeremy C. Zauderer Trust |
| Common Stock | 14,145 | Indirect | By Jordan M. Zauderer Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $223.50 | 2024-03-31 | 172 | 172 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $223.50 | 2024-06-30 | 172 | 172 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $106.50 | 2025-12-23 | 221 | 221 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $64.35 | 2024-03-14 | 1,333 | 1,333 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $100.20 | 2025-02-24 | 1,893 | 1,893 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $43.95 | 2031-04-02 | 933 | 933 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $19.35 | 2032-04-01 | 1,866 | 1,866 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $6.59 | 2028-03-30 | 3,733 | 3,733 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-31 | 172 | 172 | Direct |
| 2024-06-30 | 172 | 172 | Direct |
| 2025-12-23 | 221 | 221 | Direct |
| 2024-03-14 | 1,333 | 1,333 | Direct |
| 2025-02-24 | 1,893 | 1,893 | Direct |
| 2031-04-02 | 933 | 933 | Direct |
| 2032-04-01 | 1,866 | 1,866 | Direct |
| 2028-03-30 | 3,733 | 3,733 | Direct |
Footnotes
- Dr. Zauderer exercises voting control over shares held by this trust and disclaims beneficial ownership over these shares except to the extent of his pecuniary interest therein.
- Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9265 to $0.9399, inclusive. Mr. Zauderer undertakes to provide Vaccinex, Inc., any security holder of Vaccinex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9501 to $0.9898, inclusive. Mr. Zauderer undertakes to provide Vaccinex, Inc., any security holder of Vaccinex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- Exercisable in full as of the date of this report.
- This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the February 25, 2020 grant date.
- This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 2, 2021 grant date.
- This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date.
- This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date.
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