Zauderer Maurice 4

Accession 0001062993-24-002770

CIK 0001205922other

Filed

Feb 8, 7:00 PM ET

Accepted

Feb 9, 4:34 PM ET

Size

24.4 KB

Accession

0001062993-24-002770

Form 4

Period: 2024-02-08

10% Owner

Transactions

Award
Common Stock
2024-02-08$0.72/sh+413,793$300,000→ 1,393,392 total(indirect: By Vaccinex (Rochester), L.L.C.)
Award
Warrant (Right to Buy)
2024-02-08$0.72/sh+413,793$300,000→ 413,793 total(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $1.00From: 2024-02-08Exp: 2029-02-08→ Common Stock (413,793 underlying)

Holdings

Stock Option (Right to Buy)
Exercise: $6.59Exp: 2028-03-30→ Common Stock (3,733 underlying)
3,733
Stock Option (Right to Buy)
Exercise: $64.35Exp: 2024-03-14→ Common Stock (1,333 underlying)
1,333
Common Stock
22,116
Common Stock
(indirect: By Trust)
14,214
Common Stock
(indirect: By Trust)
14,145
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $2.34From: 2023-11-02Exp: 2028-11-02→ Common Stock (136,752 underlying)
136,752
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: 2024-03-31→ Common Stock (172 underlying)
172
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-06-30→ 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
Stock Option (Right to Buy)
Exercise: $43.95Exp: 2031-04-02→ Common Stock (933 underlying)
933
Stock Option (Right to Buy)
Exercise: $19.35Exp: 2032-04-01→ Common Stock (1,866 underlying)
1,866

DirectorPresident and CEO10% Owner

Transactions

Award
Common Stock
2024-02-08$0.72/sh+413,793$300,000→ 1,393,392 total(indirect: By Vaccinex (Rochester), L.L.C.)
Award
Warrant (Right to Buy)
2024-02-08$0.72/sh+413,793$300,000→ 413,793 total(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $1.00From: 2024-02-08Exp: 2029-02-08→ Common Stock (413,793 underlying)

Holdings

Common Stock
22,116
Stock Option (Right to Buy)
Exercise: $223.50Exp: 2024-06-30→ Common Stock (172 underlying)
172
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
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: $64.35Exp: 2024-03-14→ Common Stock (1,333 underlying)
1,333
Common Stock
(indirect: By Trust)
14,214
Common Stock
(indirect: By Trust)
14,145
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $2.34From: 2023-11-02Exp: 2028-11-02→ Common Stock (136,752 underlying)
136,752
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: $43.95Exp: 2031-04-02→ Common Stock (933 underlying)
933
Stock Option (Right to Buy)
Exercise: $6.59Exp: 2028-03-30→ Common Stock (3,733 underlying)
3,733

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 vests one-fourth on each of the first four anniversaries of the February 25, 2020 grant date, except as otherwise provided in the award notice.
[F5]This option vests one-fourth on each of the first four anniversaries of the April 2, 2021 grant date, except as otherwise provided in the award notice.
[F6]This option vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date, except as otherwise provided in the award notice.
[F7]This option vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date, except as otherwise provided in the award notice.

Documents

1 file

VACCINEX, INC.

CIK 0001205922

Entity typeother