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