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