0001062993-23-008322.txt : 20230403 0001062993-23-008322.hdr.sgml : 20230403 20230403163320 ACCESSION NUMBER: 0001062993-23-008322 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230403 DATE AS OF CHANGE: 20230403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Ernest S. CENTRAL INDEX KEY: 0001747769 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 23793217 MAIL ADDRESS: STREET 1: 1895 MOUNT HOPE AVENUE CITY: ROCHESTER STATE: NY ZIP: 14620 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 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4 2023-03-31 0001205922 VACCINEX, INC. VCNX 0001747769 Smith Ernest S. C/O VACCINEX, INC. 1895 MOUNT HOPE AVENUE ROCHESTER NY 14620 0 1 0 0 SVP, Research & CSO 0 Common Stock 8000 D Stock Option (Right to Buy) 7.10 2025-12-22 Common Stock 40729 40729 D Stock Option (Right to Buy) 7.10 2025-12-23 Common Stock 5110 5110 D Stock Option (Right to Buy) 3.90 2029-03-14 Common Stock 8000 8000 D Stock Option (Right to Buy) 6.07 2030-02-24 Common Stock 8000 8000 D Stock Option (Right to Buy) 2.93 2031-04-02 Common Stock 10000 10000 D Stock Option (Right to Buy) 1.29 2032-04-01 Common Stock 20000 20000 D Stock Option (Right to Buy) .3995 2023-03-31 4 A 0 40000 0 A 2033-03-30 Common Stock 40000 40000 D Exercisable in full as of the date of this report. This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the February 25, 2020 grant date. This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 2, 2021 grant date. This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date. This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date. /s/ Scott E. Royer, Attorney-in-Fact for Ernest S. Smith 2023-04-03