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