Albert Friedberg - May 24, 2021 Form 4 Insider Report for VACCINEX, INC. (VCNX)

Role
Director, 10%+ Owner
Signature
/s/ Scott E. Royer, Attorney-in-Fact for Albert D. Friedberg
Stock symbol
VCNX
Transactions as of
May 24, 2021
Transactions value $
$0
Form type
4
Date filed
6/24/2021, 04:41 PM
Next filing
Jan 31, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VCNX Common Stock Conversion of derivative security +1.18M +15.46% 8.81M May 24, 2021 By FCMI Parent Co. F3, F5
transaction VCNX Common Stock Conversion of derivative security +968K 968K May 24, 2021 By FCMI Financial Corporation F4, F6
holding VCNX Common Stock 440K May 24, 2021 Direct
holding VCNX Common Stock 37.6K May 24, 2021 By Pan-Atlantic Bank & Trust Ltd. F1
holding VCNX Common Stock 1.71M May 24, 2021 By Friedberg Global-Macro Hedge Fund Ltd. F2

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 Option (Right to Acquire) Conversion of derivative security -21.5M -100% 0 May 24, 2021 Common Stock 1.18M By FCMI Parent Co. F3, F5
transaction VCNX Option (Right to Acquire) Conversion of derivative security -9.68M -100% 0 May 24, 2021 Common Stock 968K By FCMI Financial Corporation F4, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Mr. Friedberg is the majority owner of Pan Atlantic Bank & Trust Ltd. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F2 Mr. Friedberg possesses voting and dispositive power over the reported securities and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F3 Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F4 FCMI Financial Corp. is a wholly-owned subsidiary of FCMI Parent Co. Mr. Friedberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein.
F5 Partnership interests in VX3 (DE) LP, or VX3 were exchanged into shares of Common Stock on a 1-for-0.05495 basis.
F6 Limited partnership units of Vaccinex Products, LP were exchanged into shares of Common Stock on a 1-for-10 basis.