Zauderer Maurice 4

Accession 0001062993-24-007661

CIK 0001205922other

Filed

Mar 31, 8:00 PM ET

Accepted

Apr 1, 8:54 PM ET

Size

25.6 KB

Accession

0001062993-24-007661

Form 4

Period: 2024-03-28

10% Owner

Transactions

Award
Common Stock
2024-03-28$7.77/sh+38,610$300,000→ 138,138 total(indirect: By Vaccinex (Rochester), L.L.C.)
Award
Warrant (Right to Buy)
2024-03-28$7.77/sh+38,610$300,000→ 38,610 total(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $7.64From: 2024-03-28Exp: 2029-03-28→ Common Stock (38,610 underlying)

Holdings

Common Stock
1,580
Common Stock
(indirect: By Trust)
1,011
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $14.00From: 2023-10-03Exp: 2028-10-03→ Common Stock (35,714 underlying)
35,714
Stock Option (Right to Buy)
Exercise: $3129.00Exp: 2024-03-31→ Common Stock (12 underlying)
12
Stock Option (Right to Buy)
Exercise: $9.15Exp: 2029-03-20→ Common Stock (1,877 underlying)
1,877
Stock Option (Right to Buy)
Exercise: $1402.80Exp: 2025-02-24→ Common Stock (135 underlying)
135
Common Stock
(indirect: By Trust)
1,016
Stock Option (Right to Buy)
Exercise: $3129.00Exp: 2024-06-30→ Common Stock (12 underlying)
12
Stock Option (Right to Buy)
Exercise: $1491.00Exp: 2025-12-23→ Common Stock (15 underlying)
15
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $14.00From: 2024-02-08Exp: 2029-02-08→ Common Stock (29,556 underlying)
29,556
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $32.76From: 2023-11-02Exp: 2028-11-02→ Common Stock (9,768 underlying)
9,768
Stock Option (Right to Buy)
Exercise: $270.90Exp: 2032-04-01→ Common Stock (133 underlying)
133
Stock Option (Right to Buy)
Exercise: $615.30Exp: 2031-04-02→ Common Stock (66 underlying)
66
Stock Option (Right to Buy)
Exercise: $92.26Exp: 2028-03-30→ Common Stock (266 underlying)
266

DirectorPresident and CEO10% Owner

Transactions

Award
Common Stock
2024-03-28$7.77/sh+38,610$300,000→ 138,138 total(indirect: By Vaccinex (Rochester), L.L.C.)
Award
Warrant (Right to Buy)
2024-03-28$7.77/sh+38,610$300,000→ 38,610 total(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $7.64From: 2024-03-28Exp: 2029-03-28→ Common Stock (38,610 underlying)

Holdings

Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $32.76From: 2023-11-02Exp: 2028-11-02→ Common Stock (9,768 underlying)
9,768
Stock Option (Right to Buy)
Exercise: $3129.00Exp: 2024-03-31→ Common Stock (12 underlying)
12
Stock Option (Right to Buy)
Exercise: $1491.00Exp: 2025-12-23→ Common Stock (15 underlying)
15
Common Stock
(indirect: By Trust)
1,016
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $14.00From: 2024-02-08Exp: 2029-02-08→ Common Stock (29,556 underlying)
29,556
Warrant (Right to Buy)
(indirect: By Vaccinex (Rochester), L.L.C.)
Exercise: $14.00From: 2023-10-03Exp: 2028-10-03→ Common Stock (35,714 underlying)
35,714
Stock Option (Right to Buy)
Exercise: $615.30Exp: 2031-04-02→ Common Stock (66 underlying)
66
Stock Option (Right to Buy)
Exercise: $270.90Exp: 2032-04-01→ Common Stock (133 underlying)
133
Stock Option (Right to Buy)
Exercise: $9.15Exp: 2029-03-20→ Common Stock (1,877 underlying)
1,877
Common Stock
1,580
Common Stock
(indirect: By Trust)
1,011
Stock Option (Right to Buy)
Exercise: $3129.00Exp: 2024-06-30→ Common Stock (12 underlying)
12
Stock Option (Right to Buy)
Exercise: $1402.80Exp: 2025-02-24→ Common Stock (135 underlying)
135
Stock Option (Right to Buy)
Exercise: $92.26Exp: 2028-03-30→ Common Stock (266 underlying)
266

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 April 2, 2021 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 1, 2022 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 March 31, 2023 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 20, 2024 grant date, except as otherwise provided in the award notice.

Documents

1 file

VACCINEX, INC.

CIK 0001205922

Entity typeother