Maurice Zauderer - 20 Mar 2024 Form 4 Insider Report for VACCINEX, INC. (VCNX)

Role
President and CEO, Director, 10%+ Owner
Signature
/s/ Maurice Zauderer
Issuer symbol
VCNX
Transactions as of
20 Mar 2024
Transactions value $
$0
Form type
4
Filing time
22 Mar 2024, 16:31:19 UTC
Previous filing
09 Feb 2024
Next filing
14 May 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding VCNX Common Stock 1.58K 20 Mar 2024 Direct
holding VCNX Common Stock 1.02K 20 Mar 2024 By Jeremy C. Zauderer Trust F1
holding VCNX Common Stock 1.01K 20 Mar 2024 By Jordan M. Zauderer Trust F1
holding VCNX Common Stock 99.5K 20 Mar 2024 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 Stock Option (Right to Buy) Award $0 +1.88K $0.00 1.88K 20 Mar 2024 Common Stock 1.88K $9.15 Direct F7
holding VCNX Warrant (Right to Buy) 29.6K 20 Mar 2024 Common Stock 29.6K $14.00 By Vaccinex (Rochester), L.L.C. F2
holding VCNX Warrant (Right to Buy) 9.77K 20 Mar 2024 Common Stock 9.77K $32.76 By Vaccinex (Rochester), L.L.C. F2
holding VCNX Warrant (Right to Buy) 35.7K 20 Mar 2024 Common Stock 35.7K $14.00 By Vaccinex (Rochester), L.L.C. F2
holding VCNX Stock Option (Right to Buy) 12 20 Mar 2024 Common Stock 12 $3,129.00 Direct F3
holding VCNX Stock Option (Right to Buy) 12 20 Mar 2024 Common Stock 12 $3,129.00 Direct F3
holding VCNX Stock Option (Right to Buy) 15 20 Mar 2024 Common Stock 15 $1,491.00 Direct F3
holding VCNX Stock Option (Right to Buy) 135 20 Mar 2024 Common Stock 135 $1,402.80 Direct F3
holding VCNX Stock Option (Right to Buy) 66 20 Mar 2024 Common Stock 66 $615.30 Direct F4
holding VCNX Stock Option (Right to Buy) 133 20 Mar 2024 Common Stock 133 $270.90 Direct F5
holding VCNX Stock Option (Right to Buy) 266 20 Mar 2024 Common Stock 266 $92.26 Direct F6
* 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 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.
F5 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.
F6 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.
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 20, 2024 grant date.

Remarks:

All figures in this Form 4 reflect the Issuer's 1-for-14 reverse stock split effected on February 19, 2024.