Filing Details
- Accession Number:
- 0001062993-22-001866
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-01-31 16:23:00
- Reporting Period:
- 2022-01-27
- Accepted Time:
- 2022-01-31 16:23:00
- 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 | 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 | 2022-01-27 | 1,801,801 | $1.11 | 2,899,554 | No | 4 | P | Indirect | By Vaccinex (Rochester), L.L.C. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Vaccinex (Rochester), L.L.C. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 177,748 | Direct | |
| Common Stock | 213,209 | Indirect | By Jeremy C. Zauderer Trust |
| Common Stock | 212,161 | 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) | $14.90 | 2024-03-31 | 2,589 | 2,589 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $14.90 | 2024-06-30 | 2,589 | 2,589 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $7.10 | 2025-12-23 | 3,325 | 3,325 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.29 | 2024-03-14 | 20,000 | 20,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $6.68 | 2025-02-24 | 28,400 | 28,400 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $2.93 | 2031-04-02 | 14,000 | 14,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-31 | 2,589 | 2,589 | Direct |
| 2024-06-30 | 2,589 | 2,589 | Direct |
| 2025-12-23 | 3,325 | 3,325 | Direct |
| 2024-03-14 | 20,000 | 20,000 | Direct |
| 2025-02-24 | 28,400 | 28,400 | Direct |
| 2031-04-02 | 14,000 | 14,000 | 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.
- 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 March 15, 2019 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 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.
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