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