Zauderer Maurice 4

Accession 0001062993-23-020103

CIK 0001205922other

Filed

Nov 2, 8:00 PM ET

Accepted

Nov 3, 4:29 PM ET

Size

22.5 KB

Accession

0001062993-23-020103

Form 4

Period: 2023-11-02

DirectorPresident and CEO10% Owner

Transactions

Award
Warrant (Right to Buy)
2023-11-02$0.13/sh+136,752$17,094→ 136,752 total(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $2.34From: 2023-11-02Exp: 2028-11-02→ Common Stock (136,752 underlying)

Holdings

Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $1.00From: 2023-10-03Exp: 2028-10-03→ Common Stock (500,000 underlying)
500,000
Stock Option (Right to Buy)
Exercise: $106.50Exp: 2025-12-23→ Common Stock (221 underlying)
221
Stock Option (Right to Buy)
Exercise: $43.95Exp: 2031-04-02→ Common Stock (933 underlying)
933
Common Stock
(indirect: By Trust)
14,214
Stock Option (Right to Buy)
Exercise: $6.59Exp: 2028-03-30→ Common Stock (3,733 underlying)
3,733
Common Stock
22,116
Common Stock
(indirect: By Trust)
14,145
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-03-31→ Common Stock (172 underlying)
172
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-06-30→ Common Stock (172 underlying)
172
Common Stock
(indirect: By Vaccinex (Rochester), L.L.C.)
979,599
Stock Option (Right to Buy)
Exercise: $64.35Exp: 2024-03-14→ Common Stock (1,333 underlying)
1,333
Stock Option (Right to Buy)
Exercise: $100.20Exp: 2025-02-24→ Common Stock (1,893 underlying)
1,893
Stock Option (Right to Buy)
Exercise: $19.35Exp: 2032-04-01→ Common Stock (1,866 underlying)
1,866

10% Owner

Transactions

Award
Warrant (Right to Buy)
2023-11-02$0.13/sh+136,752$17,094→ 136,752 total(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $2.34From: 2023-11-02Exp: 2028-11-02→ Common Stock (136,752 underlying)

Holdings

Stock Option (Right to Buy)
Exercise: $19.35Exp: 2032-04-01→ Common Stock (1,866 underlying)
1,866
Common Stock
(indirect: By Trust)
14,214
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-03-31→ Common Stock (172 underlying)
172
Stock Option (Right to Buy)
Exercise: $106.50Exp: 2025-12-23→ Common Stock (221 underlying)
221
Stock Option (Right to Buy)
Exercise: $100.20Exp: 2025-02-24→ Common Stock (1,893 underlying)
1,893
Common Stock
22,116
Common Stock
(indirect: By Vaccinex (Rochester), L.L.C.)
979,599
Stock Option (Right to Buy)
Exercise: $6.59Exp: 2028-03-30→ Common Stock (3,733 underlying)
3,733
Common Stock
(indirect: By Trust)
14,145
Stock Option (Right to Buy)
Exercise: $64.35Exp: 2024-03-14→ Common Stock (1,333 underlying)
1,333
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $1.00From: 2023-10-03Exp: 2028-10-03→ Common Stock (500,000 underlying)
500,000
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-06-30→ Common Stock (172 underlying)
172
Stock Option (Right to Buy)
Exercise: $43.95Exp: 2031-04-02→ Common Stock (933 underlying)
933

Footnotes (7)

[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]Exercisable in full as of the date of this report.
[F4]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.
[F5]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.
[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 April 1, 2022 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 March 31, 2023 grant date.

Documents

1 file

VACCINEX, INC.

CIK 0001205922

Entity typeother