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4//SEC Filing

Zauderer Maurice 4

Accession 0001062993-24-016842

CIK 0001205922other
View on SEC.govCompany Profile

Filed

Sep 19, 8:00 PM ET

Accepted

Sep 20, 4:14 PM ET

Size

36.0 KB

Accession

0001062993-24-016842

Insider Transaction Report

Form 4
Period: 2024-09-18
VACCINEX, INC.VCNX
Zauderer Maurice
DirectorPresident and CEO10% Owner
Transactions
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+38,610$217,606→ 176,748 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−38,610→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2024-03-28Exp: 2029-03-28→ Common Stock (38,610 underlying)
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+35,715$201,290→ 251,788 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+9,768$55,052→ 216,073 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−9,768→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2023-11-02Exp: 2028-11-02→ Common Stock (9,768 underlying)
  • Award

    Warrant (Right to Buy)

    2024-09-18$0.13/sh+170,475$21,309→ 170,475 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2024-09-18Exp: 2029-09-18→ Common Stock (170,475 underlying)
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+29,557$166,583→ 206,305 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−29,557→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2024-02-08Exp: 2029-02-08→ Common Stock (29,557 underlying)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−35,715→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2023-10-03Exp: 2028-10-03→ Common Stock (35,715 underlying)
Holdings

  • Common Stock

    (indirect: By Trust)
    1,011

  • Common Stock

    1,580

  • Stock Option (Right to Buy)

    Exercise: $92.26Exp: 2028-03-30→ Common Stock (266 underlying)
    266

  • Stock Option (Right to Buy)

    Exercise: $3129.00Exp: 2024-03-31→ Common Stock (12 underlying)
    12

  • 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

  • Stock Option (Right to Buy)

    Exercise: $8.21Exp: 2034-03-21→ Common Stock (1,877 underlying)
    1,877

  • Stock Option (Right to Buy)

    Exercise: $1402.80Exp: 2025-02-24→ Common Stock (135 underlying)
    135

  • 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
Vaccinex (Rochester), L.L.C.
10% Owner
Transactions
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+29,557$166,583→ 206,305 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+38,610$217,606→ 176,748 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+9,768$55,052→ 216,073 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−29,557→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2024-02-08Exp: 2029-02-08→ Common Stock (29,557 underlying)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−38,610→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2024-03-28Exp: 2029-03-28→ Common Stock (38,610 underlying)
  • Award

    Warrant (Right to Buy)

    2024-09-18$0.13/sh+170,475$21,309→ 170,475 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2024-09-18Exp: 2029-09-18→ Common Stock (170,475 underlying)
  • Exercise/Conversion

    Common Stock

    2024-09-18$5.64/sh+35,715$201,290→ 251,788 total(indirect: By Vaccinex (Rochester), L.L.C.)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−35,715→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2023-10-03Exp: 2028-10-03→ Common Stock (35,715 underlying)
  • Exercise/Conversion

    Warrant (Right to Buy)

    2024-09-18−9,768→ 0 total(indirect: By Vaccinex (Rochester), L.L.C.)
    Exercise: $5.64From: 2023-11-02Exp: 2028-11-02→ Common Stock (9,768 underlying)
Holdings

  • Stock Option (Right to Buy)

    Exercise: $1491.00Exp: 2025-12-23→ Common Stock (15 underlying)
    15

  • Stock Option (Right to Buy)

    Exercise: $3129.00Exp: 2024-03-31→ Common Stock (12 underlying)
    12

  • Common Stock

    (indirect: By Trust)
    1,016

  • 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

  • Common Stock

    1,580

  • Stock Option (Right to Buy)

    Exercise: $1402.80Exp: 2025-02-24→ Common Stock (135 underlying)
    135

  • 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: $270.90Exp: 2032-04-01→ Common Stock (133 underlying)
    133

  • Stock Option (Right to Buy)

    Exercise: $8.21Exp: 2034-03-21→ Common Stock (1,877 underlying)
    1,877
Footnotes (10)
  • [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.
  • [F10]This option vests one-fourth on each of the first four anniversaries of the March 21, 2024 grant date, except as otherwise provided in the award notice.
  • [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]This warrant was originally reported on Form 4 with an exercise price of $7.64. Pursuant to a warrant inducement agreement by and between the issuer and Vaccinex (Rochester) L.L.C. dated September 17, 2024 (the "Warrant Inducement Agreement"), the exercise price of this warrant was adjusted to $5.636.
  • [F4]This warrant was originally reported on Form 4 with an exercise price of $14.00. Pursuant to the Warrant Inducement Agreement, the exercise price of this warrant was adjusted to $5.636.
  • [F5]This warrant was originally reported on Form 4 with an exercise price of $32.76. Pursuant to the Warrant Inducement Agreement, the exercise price of this warrant was adjusted to $5.636.
  • [F6]Exercisable in full as of the date of this report.
  • [F7]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.
  • [F8]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.
  • [F9]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

Issuer

VACCINEX, INC.

CIK 0001205922

→
Entity typeother

Related Parties

1
  • filerCIK 0001747753

Filing Metadata

Form type
4
Filed
Sep 19, 8:00 PM ET
Accepted
Sep 20, 4:14 PM ET
Size
36.0 KB
View on SEC.gov