Maurice Zauderer - Nov 2, 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: Nov 2, 2023
Transactions value $: $17,094
Form type: 4
Date filed: 11/3/2023, 04:29 PM
Previous filing: Oct 5, 2023
Next filing: Feb 9, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	VCNX	Common Stock						22.1K	Nov 2, 2023	Direct
holding	VCNX	Common Stock						14.2K	Nov 2, 2023	By Jeremy C. Zauderer Trust	F1
holding	VCNX	Common Stock						14.1K	Nov 2, 2023	By Jordan M. Zauderer Trust	F1
holding	VCNX	Common Stock						980K	Nov 2, 2023	By Vaccinex (Rochester), L.L.C.	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	Warrant (Right to Buy)	Award	$17.1K	+137K		$0.13	137K	Nov 2, 2023	Common Stock	137K	$2.34	By Vaccinex (Rochester), L.L.C.	F2
holding	VCNX	Warrant (Right to Buy)						500K	Nov 2, 2023	Common Stock	500K	$1.00	By Vaccinex (Rochester), L.L.C.	F2
holding	VCNX	Stock Option (Right to Buy)						172	Nov 2, 2023	Common Stock	172	$223.50	Direct	F3
holding	VCNX	Stock Option (Right to Buy)						172	Nov 2, 2023	Common Stock	172	$223.50	Direct	F3
holding	VCNX	Stock Option (Right to Buy)						221	Nov 2, 2023	Common Stock	221	$106.50	Direct	F3
holding	VCNX	Stock Option (Right to Buy)						1.33K	Nov 2, 2023	Common Stock	1.33K	$64.35	Direct	F3
holding	VCNX	Stock Option (Right to Buy)						1.89K	Nov 2, 2023	Common Stock	1.89K	$100.20	Direct	F4
holding	VCNX	Stock Option (Right to Buy)						933	Nov 2, 2023	Common Stock	933	$43.95	Direct	F5
holding	VCNX	Stock Option (Right to Buy)						1.87K	Nov 2, 2023	Common Stock	1.87K	$19.35	Direct	F6
holding	VCNX	Stock Option (Right to Buy)						3.73K	Nov 2, 2023	Common Stock	3.73K	$6.59	Direct	F7

* 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	Exercisable in full as of the date of this report.
F4	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.
F5	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.
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 April 1, 2022 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 March 31, 2023 grant date.