0001062993-24-007661.txt : 20240401 0001062993-24-007661.hdr.sgml : 20240401 20240401205414 ACCESSION NUMBER: 0001062993-24-007661 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240328 FILED AS OF DATE: 20240401 DATE AS OF CHANGE: 20240401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zauderer Maurice CENTRAL INDEX KEY: 0001747753 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 24811919 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 ORGANIZATION NAME: STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 24811918 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] ORGANIZATION NAME: 03 Life Sciences 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 2024-03-28 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 1580 D Common Stock 1016 I By Jeremy C. Zauderer Trust Common Stock 1011 I By Jordan M. Zauderer Trust Common Stock 2024-03-28 4 A 0 38610 7.77 A 138138 I By Vaccinex (Rochester), L.L.C. Warrant (Right to Buy) 7.64 2024-03-28 4 A 0 38610 7.77 A 2024-03-28 2029-03-28 Common Stock 38610 38610 I By Vaccinex (Rochester), L.L.C. Warrant (Right to Buy) 14.0 2024-02-08 2029-02-08 Common Stock 29556 29556 I By Vaccinex (Rochester), L.L.C. Warrant (Right to Buy) 32.76 2023-11-02 2028-11-02 Common Stock 9768 9768 I By Vaccinex (Rochester), L.L.C. Warrant (Right to Buy) 14.0 2023-10-03 2028-10-03 Common Stock 35714 35714 I By Vaccinex (Rochester), L.L.C. Stock Option (Right to Buy) 3129.0 2024-03-31 Common Stock 12 12 D Stock Option (Right to Buy) 3129.0 2024-06-30 Common Stock 12 12 D Stock Option (Right to Buy) 1491.0 2025-12-23 Common Stock 15 15 D Stock Option (Right to Buy) 1402.8 2025-02-24 Common Stock 135 135 D Stock Option (Right to Buy) 615.3 2031-04-02 Common Stock 66 66 D Stock Option (Right to Buy) 270.9 2032-04-01 Common Stock 133 133 D Stock Option (Right to Buy) 92.26 2028-03-30 Common Stock 266 266 D Stock Option (Right to Buy) 9.15 2029-03-20 Common Stock 1877 1877 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 vests one-fourth on each of the first four anniversaries of the April 2, 2021 grant date, except as otherwise provided in the award notice. This option vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date, except as otherwise provided in the award notice. This option vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date, except as otherwise provided in the award notice. This option vests one-fourth on each of the first four anniversaries of the March 20, 2024 grant date, except as otherwise provided in the award notice. /s/ Maurice Zauderer 2024-04-01