0000891839-20-000084.txt : 20200330 0000891839-20-000084.hdr.sgml : 20200330 20200330172011 ACCESSION NUMBER: 0000891839-20-000084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200327 FILED AS OF DATE: 20200330 DATE AS OF CHANGE: 20200330 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRIEDBERG ALBERT CENTRAL INDEX KEY: 0001268239 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 20758415 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FCMI Parent Co. CENTRAL INDEX KEY: 0001678258 STATE OF INCORPORATION: A5 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 20758416 BUSINESS ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 250 CITY: TORONTO STATE: A6 ZIP: M5J 2T3 BUSINESS PHONE: 1-416-364-1171 MAIL ADDRESS: STREET 1: 181 BAY STREET STREET 2: SUITE 250 CITY: TORONTO STATE: A6 ZIP: M5J 2T3 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VACCINEX, INC. CENTRAL INDEX KEY: 0001205922 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 161603202 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1895 MOUNT HOPE AVE CITY: ROCHESTER STATE: NY ZIP: 14620 BUSINESS PHONE: 585-271-2700 MAIL ADDRESS: STREET 1: 1895 MOUNT HOPE AVE CITY: ROCHESTER STATE: NY ZIP: 14620 FORMER COMPANY: FORMER CONFORMED NAME: VACCINEX INC DATE OF NAME CHANGE: 20021114 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-03-27 0001205922 VACCINEX, INC. VCNX 0001268239 FRIEDBERG ALBERT 181 BAY STREET SUITE 250 TORONTO A6 M5J 2T3 ONTARIO, CANADA 1 0 1 0 0001678258 FCMI Parent Co. 181 BAY STREET SUITE 250 TORONTO A6 M5J 2T3 ONTARIO, CANADA 0 0 1 0 Common Stock 439555 D Common Stock 37633 I By Pan-Atlantic Bank & Trust Ltd. Common Stock 583333 I By Global Macro Hedge Fund Ltd. Common Stock 2020-03-27 4 P 0 4000 4.18 A 7625601 I By FCMI Parent Co. Common Stock 2020-03-30 4 P 0 5000 4.06 A 7630601 I By FCMI Parent Co. Option (Right to Acquire) Common Stock 1180051 21475000 I By FCMI Parent Co. Option (Right to Acquire) Common Stock 967983 9679833 I By FCMI Financial Corporation Mr. Friedberg is the majority owner of Pan Atlantic Bank & Trust Ltd. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. Mr. Friedberg possesses voting and dispositive power over the reported securities and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by FCMI Parent Co. on January 23, 2019. Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. Partnership interests in VX3 (DE) LP, or VX3, which are exchangeable into shares of Common Stock on a 1-for-0.05495 basis at the holder's option. On August 13, 2018, FCMI Parent Co. entered into an exchange agreement with the Issuer and the other partners of VX3 that provides each VX3 partner the right to exchange all, but not less than all, of its partnership interests in VX3 for shares of Common Stock. The option has no expiration date. Limited partnership units of Vaccinex Products, LP, which are exchangeable into shares of Common Stock on a 1-for-10 basis at the holder's option. FCMI Financial Corp. is a wholly-owned subsidiary of FCMI Parent Co. Mr. Friedberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein. /s/ Scott E. Royer, Attorney-in-Fact for Albert D. Friedberg 2020-03-30 FCMI Parent Co. By: /s/ Dan Scheiner, Vice President 2020-03-30