Jacob B. Frieberg - 11 May 2021 Form 4 Insider Report for VACCINEX, INC. (VCNX)

Role
Director
Signature
/s/ Scott E. Royer, Attorney-in-Fact for Jacob B. Frieberg
Issuer symbol
VCNX
Transactions as of
11 May 2021
Net transactions value
$0
Form type
4
Filing time
12 May 2021, 16:22:19 UTC
Next filing
28 Jun 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding VCNX Common Stock 52,866 11 May 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction VCNX Stock Option (Right to Buy) Award $0 +28,586 $0.000000 28,586 11 May 2021 Common Stock 28,586 $2.15 Direct F8
holding VCNX Option (Right to Acquire) 44,200 11 May 2021 Common Stock 4,420 Direct F1
holding VCNX Option (Right to Acquire) 44,200 11 May 2021 Common Stock 4,420 By Benbow Estates, Ltd. F1, F2
holding VCNX Option (Right to Acquire) 75,000 11 May 2021 Common Stock 4,121 By Gee Eff Services Limited F3, F4
holding VCNX Stock Option (Right to Buy) 6,396 11 May 2021 Common Stock 6,396 $13.60 Direct F5
holding VCNX Stock Option (Right to Buy) 2,501 11 May 2021 Common Stock 2,501 $5.26 Direct F5
holding VCNX Stock Option (Right to Buy) 7,718 11 May 2021 Common Stock 7,718 $7.78 Direct F5, F6
holding VCNX Stock Option (Right to Buy) 2,385 11 May 2021 Common Stock 2,385 $5.52 Direct F5
holding VCNX Stock Option (Right to Buy) 1,856 11 May 2021 Common Stock 1,856 $7.17 Direct F5
holding VCNX Stock Option (Right to Buy) 2,737 11 May 2021 Common Stock 2,737 $4.85 Direct F5
holding VCNX Stock Option (Right to Buy) 3,336 11 May 2021 Common Stock 3,336 $4.00 Direct F5
holding VCNX Stock Option (Right to Buy) 15,679 11 May 2021 Common Stock 15,679 $3.95 Direct F7
holding VCNX Stock Option (Right to Buy) 3,756 11 May 2021 Common Stock 3,756 $3.61 Direct F5
holding VCNX Stock Option (Right to Buy) 7,626 11 May 2021 Common Stock 7,626 $1.78 Direct F5
holding VCNX Stock Option (Right to Buy) 6,545 11 May 2021 Common Stock 6,545 $2.07 Direct F5
holding VCNX Stock Option (Right to Buy) 4,535 11 May 2021 Common Stock 4,535 $2.98 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Limited partnership units of Vaccinex Products, LP, which are presently exchangeable into shares of Common Stock on a 1-for-10 basis at the holder's option.
F2 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.
F3 Partnership interests in VX3 (DE) LP, or VX3, which are presently exchangeable into shares of Common Stock on a 1-for-0.05495 basis at the holder's option. On August 13, 2018, Gee Eff Services Limited entered into an exchange agreement with the Issuer and the other partners of VX3 that provides each VX3 partner the right to exchange all, but not less than all, of its partnership interests in VX3 for shares of Common Stock. The option has no expiration date.
F4 Mr. Frieberg is the sole owner and President of Gee Eff Services Limited.
F5 Exercisable in full as of the date of this report.
F6 This option expires on May 14, 2029 or five years following retirement or cessation of services, whichever occurs first.
F7 This option expires on May 12, 2030 or five years following retirement or cessation of services, whichever occurs first.
F8 This option was granted pursuant to the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and expires on May 9, 2031 or five years following retirement or cessation of services, whichever occurs first.