FCMI Parent Co. 4
4 · VACCINEX, INC. · Filed Mar 26, 2020
Insider Transaction Report
Form 4
VACCINEX, INC.VCNX
FRIEDBERG ALBERT
Director10% Owner
Transactions
- Purchase
Common Stock
2020-03-24$4.40/sh+2,000$8,800→ 7,620,601 total(indirect: By FCMI Parent Co.) - Purchase
Common Stock
2020-03-26$4.44/sh+1,000$4,440→ 7,621,601 total(indirect: By FCMI Parent Co.)
Holdings
- 37,633(indirect: By Trust)
Common Stock
- 583,333(indirect: By Global Macro Hedge Fund Ltd.)
Common Stock
- 439,555
Common Stock
- 21,475,000(indirect: By FCMI Parent Co.)
Option (Right to Acquire)
→ Common Stock (1,180,051 underlying) - 9,679,833(indirect: By FCMI Financial Corporation)
Option (Right to Acquire)
→ Common Stock (967,983 underlying)
Footnotes (7)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]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.
- [F7]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.