Maurice Zauderer - Oct 3, 2023 Form 4 Insider Report for VACCINEX, INC. (VCNX)

Role
President and CEO, Director, 10%+ Owner
Signature
/s/ Scott E. Royer, Attorney-in-Fact for Maurice Zauderer
Stock symbol
VCNX
Transactions as of
Oct 3, 2023
Transactions value $
$1,009,515
Form type
4
Date filed
10/5/2023, 04:31 PM
Previous filing
Sep 25, 2023
Next filing
Nov 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VCNX Common Stock Purchase $500K +500K +104.25% $1.00 980K Oct 3, 2023 By Vaccinex (Rochester), L.L.C. F2
transaction VCNX Common Stock Purchase $4.65K +5K +41.27% $0.93 17.1K Oct 3, 2023 Direct F3
transaction VCNX Common Stock Purchase $4.87K +5K +29.21% $0.97 22.1K Oct 4, 2023 Direct F4
holding VCNX Common Stock 12.1K Oct 3, 2023 Direct
holding VCNX Common Stock 14.2K Oct 3, 2023 By Jeremy C. Zauderer Trust F1
holding VCNX Common Stock 14.1K Oct 3, 2023 By Jordan M. Zauderer Trust F1

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 Warrant (Right to Buy) Purchase $500K +500K $1.00 500K Oct 3, 2023 Common Stock 500K $1.00 By Vaccinex (Rochester), L.L.C. F2
holding VCNX Stock Option (Right to Buy) 172 Oct 3, 2023 Common Stock 172 $223.50 Direct F5
holding VCNX Stock Option (Right to Buy) 172 Oct 3, 2023 Common Stock 172 $223.50 Direct F5
holding VCNX Stock Option (Right to Buy) 221 Oct 3, 2023 Common Stock 221 $106.50 Direct F5
holding VCNX Stock Option (Right to Buy) 1.33K Oct 3, 2023 Common Stock 1.33K $64.35 Direct F5
holding VCNX Stock Option (Right to Buy) 1.89K Oct 3, 2023 Common Stock 1.89K $100.20 Direct F6
holding VCNX Stock Option (Right to Buy) 933 Oct 3, 2023 Common Stock 933 $43.95 Direct F7
holding VCNX Stock Option (Right to Buy) 1.87K Oct 3, 2023 Common Stock 1.87K $19.35 Direct F8
holding VCNX Stock Option (Right to Buy) 3.73K Oct 3, 2023 Common Stock 3.73K $6.59 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.
F5 Exercisable in full as of the date of this report.
F6 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.
F7 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.
F8 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.
F9 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.

Remarks:

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.