Maurice Zauderer - 18 Sep 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
18 Sep 2024
Transactions value $
$661,841
Form type
4
Filing time
20 Sep 2024, 16:14:02 UTC
Previous filing
01 Apr 2024
Next filing
18 Nov 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VCNX Common Stock Options Exercise $218K +38.6K +27.95% $5.64 177K 18 Sep 2024 By Vaccinex (Rochester), L.L.C. F2, F3
transaction VCNX Common Stock Options Exercise $167K +29.6K +16.72% $5.64 206K 18 Sep 2024 By Vaccinex (Rochester), L.L.C. F2, F4
transaction VCNX Common Stock Options Exercise $55.1K +9.77K +4.73% $5.64 216K 18 Sep 2024 By Vaccinex (Rochester), L.L.C. F2, F5
transaction VCNX Common Stock Options Exercise $201K +35.7K +16.53% $5.64 252K 18 Sep 2024 By Vaccinex (Rochester), L.L.C. F2, F4
holding VCNX Common Stock 1.58K 18 Sep 2024 Direct
holding VCNX Common Stock 1.02K 18 Sep 2024 By Jeremy C. Zauderer Trust F1
holding VCNX Common Stock 1.01K 18 Sep 2024 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) Options Exercise $0 -38.6K -100% $0.00 0 18 Sep 2024 Common Stock 38.6K $5.64 By Vaccinex (Rochester), L.L.C. F2, F3
transaction VCNX Warrant (Right to Buy) Options Exercise $0 -29.6K -100% $0.00 0 18 Sep 2024 Common Stock 29.6K $5.64 By Vaccinex (Rochester), L.L.C. F2, F4
transaction VCNX Warrant (Right to Buy) Options Exercise $0 -9.77K -100% $0.00 0 18 Sep 2024 Common Stock 9.77K $5.64 By Vaccinex (Rochester), L.L.C. F2, F5
transaction VCNX Warrant (Right to Buy) Options Exercise $0 -35.7K -100% $0.00 0 18 Sep 2024 Common Stock 35.7K $5.64 By Vaccinex (Rochester), L.L.C. F2, F4
transaction VCNX Warrant (Right to Buy) Award $21.3K +170K $0.13 170K 18 Sep 2024 Common Stock 170K $5.64 By Vaccinex (Rochester), L.L.C. F2
holding VCNX Stock Option (Right to Buy) 12 18 Sep 2024 Common Stock 12 $3,129.00 Direct F6
holding VCNX Stock Option (Right to Buy) 12 18 Sep 2024 Common Stock 12 $3,129.00 Direct F6
holding VCNX Stock Option (Right to Buy) 15 18 Sep 2024 Common Stock 15 $1,491.00 Direct F6
holding VCNX Stock Option (Right to Buy) 135 18 Sep 2024 Common Stock 135 $1,402.80 Direct F6
holding VCNX Stock Option (Right to Buy) 66 18 Sep 2024 Common Stock 66 $615.30 Direct F7
holding VCNX Stock Option (Right to Buy) 133 18 Sep 2024 Common Stock 133 $270.90 Direct F8
holding VCNX Stock Option (Right to Buy) 266 18 Sep 2024 Common Stock 266 $92.26 Direct F9
holding VCNX Stock Option (Right to Buy) 1.88K 18 Sep 2024 Common Stock 1.88K $8.21 Direct F10
* 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 This warrant was originally reported on Form 4 with an exercise price of $7.64. Pursuant to a warrant inducement agreement by and between the issuer and Vaccinex (Rochester) L.L.C. dated September 17, 2024 (the "Warrant Inducement Agreement"), the exercise price of this warrant was adjusted to $5.636.
F4 This warrant was originally reported on Form 4 with an exercise price of $14.00. Pursuant to the Warrant Inducement Agreement, the exercise price of this warrant was adjusted to $5.636.
F5 This warrant was originally reported on Form 4 with an exercise price of $32.76. Pursuant to the Warrant Inducement Agreement, the exercise price of this warrant was adjusted to $5.636.
F6 Exercisable in full as of the date of this report.
F7 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.
F8 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.
F9 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.
F10 This option vests one-fourth on each of the first four anniversaries of the March 21, 2024 grant date, except as otherwise provided in the award notice.