0001062993-23-019059.txt : 20231005 0001062993-23-019059.hdr.sgml : 20231005 20231005163013 ACCESSION NUMBER: 0001062993-23-019059 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20231005 DATE AS OF CHANGE: 20231005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frieberg Jacob B. CENTRAL INDEX KEY: 0001748346 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 231311712 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 2023-06-30 0001205922 VACCINEX, INC. VCNX 0001748346 Frieberg Jacob B. C/O VACCINEX, INC. 1895 MOUNT HOPE AVENUE ROCHESTER NY 14620 1 0 0 0 0 Common Stock 4235 D Common Stock 6301 I By Benbow Estates, Ltd. Common Stock 12870 I By Gee Eff Services Limited Stock Option (Right to Buy) 204.0 2027-09-15 Common Stock 6396 6396 D Stock Option (Right to Buy) 78.9 2029-03-30 Common Stock 2501 2501 D Stock Option (Right to Buy) 116.7 Common Stock 7718 7718 D Stock Option (Right to Buy) 82.8 2029-06-29 Common Stock 2385 2385 D Stock Option (Right to Buy) 107.55 2029-09-27 Common Stock 1856 1856 D Stock Option (Right to Buy) 72.75 2029-12-28 Common Stock 2737 2737 D Stock Option (Right to Buy) 60.0 2030-03-29 Common Stock 3336 3336 D Stock Option (Right to Buy) 59.25 Common Stock 15679 15679 D Stock Option (Right to Buy) 54.15 2030-06-28 Common Stock 3756 3756 D Stock Option (Right to Buy) 26.7 2030-09-28 Common Stock 7626 7626 D Stock Option (Right to Buy) 31.05 2030-12-29 Common Stock 6545 6545 D Stock Option (Right to Buy) 44.7 2031-03-31 Common Stock 4535 4535 D Stock Option (Right to Buy) 32.25 Common Stock 28586 28586 D Stock Option (Right to Buy) 42.0 2031-06-28 Common Stock 4804 4804 D Stock Option (Right to Buy) 32.4 2031-09-28 Common Stock 6233 6233 D Stock Option (Right to Buy) 15.6 2031-12-29 Common Stock 12856 12856 D Stock Option (Right to Buy) 19.8 2032-03-28 Common Stock 10032 10032 D Stock Option (Right to Buy) 16.8 Common Stock 53254 53254 D Stock Option (Right to Buy) 16.2 2032-06-27 Common Stock 12064 12064 D Stock Option (Right to Buy) 7.43 2032-09-27 Common Stock 26260 26260 D Stock Option (Right to Buy) 9.68 2032-12-28 Common Stock 19852 19852 D Stock Option (Right to Buy) 5.99 2033-03-28 Common Stock 32107 32107 D Stock Option (Right to Buy) 6.15 2024-05-11 Common Stock 143848 143848 D Stock Option (Right to Buy) 5.34 2023-06-30 4 A 0 2414 3.62 A 2023-06-30 2033-06-27 Common Stock 2414 2414 D Stock Option (Right to Buy) 1.13 2023-09-29 4 A 0 11291 0.77 A 2023-09-29 2033-09-26 Common Stock 11291 11291 D Mr. Frieberg's spouse is the owner of Benbow Estates, Ltd. and Mr. Frieberg is an officer of Benbow Estates, Ltd. Mr. Frieberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. Mr. Frieberg is the sole owner and President of Gee Eff Services Limited. Exercisable in full as of the date of this report. This option expires on May 14, 2029 or five years following retirement or cessation of services, whichever occurs first. This option expires on May 12, 2030 or five years following retirement or cessation of services, whichever occurs first. This option expires on May 9, 2031 or five years following retirement or cessation of services, whichever occurs first. This option expires on May 9, 2032 or five years following retirement or cessation of services, whichever occurs first. This option expires on May 8, 2033 or five years following retirement or cessation of services, whichever occurs first. Pursuant to the Issuer's Director Compensation Plan, in a transaction exempt under Rule 16b-3, the reporting person elected to receive these options in lieu of $8,750 for retainer and meeting fees during the second quarter of 2023. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable. Pursuant to the Issuer's Director Compensation Plan, in a transaction exempt under Rule 16b-3, the reporting person elected to receive these options in lieu of $8,750 for retainer and meeting fees during the third quarter of 2023. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable. On September 25, 2023, Vaccinex, Inc. effected a 1-for-15 reverse stock split (the "Reverse Stock Split"). All figures in this Form 4 reflect the Reverse Stock Split. /s/ Scott E. Royer, Attorney-in-Fact for Jacob B. Frieberg 2023-10-05