0001062993-23-019063.txt : 20231005 0001062993-23-019063.hdr.sgml : 20231005 20231005163137 ACCESSION NUMBER: 0001062993-23-019063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231003 FILED AS OF DATE: 20231005 DATE AS OF CHANGE: 20231005 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: 231311743 MAIL ADDRESS: STREET 1: 1895 MOUNT HOPE AVENUE CITY: ROCHESTER STATE: NY ZIP: 14620 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vaccinex (Rochester), L.L.C. CENTRAL INDEX KEY: 0001747866 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 231311742 BUSINESS ADDRESS: STREET 1: 44 WOODLAND ROAD CITY: PITTSFORD STATE: NY ZIP: 14534 BUSINESS PHONE: 585-271-2827 MAIL ADDRESS: STREET 1: 44 WOODLAND ROAD CITY: PITTSFORD STATE: NY ZIP: 14534 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 2023-10-03 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 0001747866 Vaccinex (Rochester), L.L.C. 44 WOODLAND ROAD PITTSFORD NY 14534 0 0 1 0 0 Common Stock 12116 D Common Stock 14214 I By Jeremy C. Zauderer Trust Common Stock 14145 I By Jordan M. Zauderer Trust Common Stock 2023-10-03 4 P 0 500000 1.0 A 979599 I By Vaccinex (Rochester), L.L.C. Common Stock 2023-10-03 4 P 0 5000 0.93 A 17116 D Common Stock 2023-10-04 4 P 0 5000 0.973 A 22116 D Warrant (Right to Buy) 1.0 2023-10-03 4 P 0 500000 1.0 A 2023-10-03 2028-10-03 Common Stock 500000 500000 I By Vaccinex (Rochester), L.L.C. Stock Option (Right to Buy) 223.5 2024-03-31 Common Stock 172 172 D Stock Option (Right to Buy) 223.5 2024-06-30 Common Stock 172 172 D Stock Option (Right to Buy) 106.5 2025-12-23 Common Stock 221 221 D Stock Option (Right to Buy) 64.35 2024-03-14 Common Stock 1333 1333 D Stock Option (Right to Buy) 100.2 2025-02-24 Common Stock 1893 1893 D Stock Option (Right to Buy) 43.95 2031-04-02 Common Stock 933 933 D Stock Option (Right to Buy) 19.35 2032-04-01 Common Stock 1866 1866 D Stock Option (Right to Buy) 6.59 2028-03-30 Common Stock 3733 3733 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. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9265 to $0.9399, inclusive. Mr. Zauderer undertakes to provide Vaccinex, Inc., any security holder of Vaccinex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9501 to $0.9898, inclusive. Mr. Zauderer undertakes to provide Vaccinex, Inc., any security holder of Vaccinex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. 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. On September 25, 2023, Vaccinex, Inc. effected a 1-for-15 reverse stock split (the "Reverse Stock Split"). The figures in this Form 4 reflect the Reverse Stock Split. /s/ Scott E. Royer, Attorney-in-Fact for Maurice Zauderer 2023-10-05 Vaccinex (Rochester) L.L.C., By: /s/ Maurice Zauderer, President 2023-10-05