4//SEC Filing
Zauderer Maurice 4
Accession 0001062993-23-019063
CIK 0001205922other
Filed
Oct 4, 8:00 PM ET
Accepted
Oct 5, 4:31 PM ET
Size
25.9 KB
Accession
0001062993-23-019063
Insider Transaction Report
Form 4
VACCINEX, INC.VCNX
Zauderer Maurice
DirectorPresident and CEO10% Owner
Transactions
- Purchase
Warrant (Right to Buy)
2023-10-03$1.00/sh+500,000$500,000→ 500,000 total(indirect: By Vaccinex (Rochester), L.L.C.)Exercise: $1.00From: 2023-10-03Exp: 2028-10-03→ Common Stock (500,000 underlying) - Purchase
Common Stock
2023-10-03$0.93/sh+5,000$4,650→ 17,116 total - Purchase
Common Stock
2023-10-03$1.00/sh+500,000$500,000→ 979,599 total(indirect: By Vaccinex (Rochester), L.L.C.) - Purchase
Common Stock
2023-10-04$0.97/sh+5,000$4,865→ 22,116 total
Holdings
- 933
Stock Option (Right to Buy)
Exercise: $43.95Exp: 2031-04-02→ Common Stock (933 underlying) - 1,866
Stock Option (Right to Buy)
Exercise: $19.35Exp: 2032-04-01→ Common Stock (1,866 underlying) - 172
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-03-31→ Common Stock (172 underlying) - 221
Stock Option (Right to Buy)
Exercise: $106.50Exp: 2025-12-23→ Common Stock (221 underlying) - 1,333
Stock Option (Right to Buy)
Exercise: $64.35Exp: 2024-03-14→ Common Stock (1,333 underlying) - 1,893
Stock Option (Right to Buy)
Exercise: $100.20Exp: 2025-02-24→ Common Stock (1,893 underlying) - 3,733
Stock Option (Right to Buy)
Exercise: $6.59Exp: 2028-03-30→ Common Stock (3,733 underlying) - 12,116
Common Stock
- 14,214(indirect: By Trust)
Common Stock
- 14,145(indirect: By Trust)
Common Stock
- 172
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-06-30→ Common Stock (172 underlying)
Vaccinex (Rochester), L.L.C.
10% Owner
Transactions
- Purchase
Common Stock
2023-10-03$1.00/sh+500,000$500,000→ 979,599 total(indirect: By Vaccinex (Rochester), L.L.C.) - Purchase
Common Stock
2023-10-03$0.93/sh+5,000$4,650→ 17,116 total - Purchase
Warrant (Right to Buy)
2023-10-03$1.00/sh+500,000$500,000→ 500,000 total(indirect: By Vaccinex (Rochester), L.L.C.)Exercise: $1.00From: 2023-10-03Exp: 2028-10-03→ Common Stock (500,000 underlying) - Purchase
Common Stock
2023-10-04$0.97/sh+5,000$4,865→ 22,116 total
Holdings
- 12,116
Common Stock
- 172
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-06-30→ Common Stock (172 underlying) - 14,214(indirect: By Trust)
Common Stock
- 933
Stock Option (Right to Buy)
Exercise: $43.95Exp: 2031-04-02→ Common Stock (933 underlying) - 3,733
Stock Option (Right to Buy)
Exercise: $6.59Exp: 2028-03-30→ Common Stock (3,733 underlying) - 221
Stock Option (Right to Buy)
Exercise: $106.50Exp: 2025-12-23→ Common Stock (221 underlying) - 1,893
Stock Option (Right to Buy)
Exercise: $100.20Exp: 2025-02-24→ Common Stock (1,893 underlying) - 1,866
Stock Option (Right to Buy)
Exercise: $19.35Exp: 2032-04-01→ Common Stock (1,866 underlying) - 172
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-03-31→ Common Stock (172 underlying) - 14,145(indirect: By Trust)
Common Stock
- 1,333
Stock Option (Right to Buy)
Exercise: $64.35Exp: 2024-03-14→ Common Stock (1,333 underlying)
Footnotes (9)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]Exercisable in full as of the date of this report.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]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.
Issuer
VACCINEX, INC.
CIK 0001205922
Entity typeother
Related Parties
1- filerCIK 0001747753
Filing Metadata
- Form type
- 4
- Filed
- Oct 4, 8:00 PM ET
- Accepted
- Oct 5, 4:31 PM ET
- Size
- 25.9 KB