0001062993-23-018438.txt : 20230925
0001062993-23-018438.hdr.sgml : 20230925
20230925161222
ACCESSION NUMBER: 0001062993-23-018438
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230922
FILED AS OF DATE: 20230925
DATE AS OF CHANGE: 20230925
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Zauderer Maurice
CENTRAL INDEX KEY: 0001747753
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38624
FILM NUMBER: 231275983
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
X0508
4
2023-09-22
0001205922
VACCINEX, INC.
VCNX
0001747753
Zauderer Maurice
C/O VACCINEX, INC.
1895 MOUNT HOPE AVENUE
ROCHESTER
NY
14620
1
1
1
0
President and CEO
0
Common Stock
181736
D
Common Stock
213209
I
By Jeremy C. Zauderer Trust
Common Stock
212161
I
By Jordan M. Zauderer Trust
Common Stock
2023-09-22
4
A
0
2051282
.156
A
7193973
I
By Vaccinex (Rochester), L.L.C.
Stock Option (Right to Buy)
14.90
2024-03-31
Common Stock
2589
2589
D
Stock Option (Right to Buy)
14.90
2024-06-30
Common Stock
2589
2589
D
Stock Option (Right to Buy)
7.10
2025-12-23
Common Stock
3325
3325
D
Stock Option (Right to Buy)
4.29
2024-03-14
Common Stock
20000
20000
D
Stock Option (Right to Buy)
6.68
2025-02-24
Common Stock
28400
28400
D
Stock Option (Right to Buy)
2.93
2031-04-02
Common Stock
14000
14000
D
Stock Option (Right to Buy)
1.29
2032-04-01
Common Stock
28000
28000
D
Stock Option (Right to Buy)
.4395
2028-03-30
Common Stock
56000
56000
D
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.
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.
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 Maurice Zauderer
2023-09-25