Current Report Filing (8-k)
May 17 2021 - 8:17AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 11, 2021
Vaccinex, Inc.
(Exact
name of registrant as specified in its charter)
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Delaware
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001-38624
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16-1603202
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1895 Mount Hope Avenue, Rochester, New York
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14620
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(Address of principal executive offices)
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(Zip Code)
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(585) 271-2700
(Registrants telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which
registered
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Common Stock, par value $0.0001 per share
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VCNX
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Nasdaq Capital Market
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of
1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an
emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 2.02 Results of Operations and Financial Conditions.
On May 17, 2021, Vaccinex, Inc. (the Company) issued a press release describing its results of operations and financial
condition for its first quarter ended March 31, 2021. The Companys press release is attached to this Current Report on Form 8-K as Exhibit 99.1.
The information furnished pursuant to this Item 2.02, including Exhibit 99.1, shall not be deemed filed for purposes of
Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange Act), or otherwise subject to the liabilities under such section and shall not be deemed to be incorporated by reference into any filing of the Company
under the Securities Act of 1933, as amended, or the Exchange Act.
Item 5.02 Departure of Directors or Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On May 11, 2021, the Companys Board of
Directors (the Board) appointed Elizabeth Evans, age 49, to serve as the Companys Chief Operating Officer. Prior to her appointment as the Chief Operating Officer, Ms. Evans has served the Company since May 2001 in a series of
roles of increasing responsibility, including as its Senior Vice President, Discovery and Translational Medicine from March 2020 to May 2021, its Vice President, Discovery Research from March 2019 to March 2020, its Vice President, Preclinical
Research from July 2016 to March 2019, and its Director, Oncology Research from December 2013 to July 2016. Ms. Evans has no family relationship with any director or executive officer of the Company and she has no direct or indirect material
interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
Ms. Evans annual base salary is $242,000. In addition, as Chief Operating Officer, Ms. Evans will be eligible to receive an
annual stock option grant as determined by the Compensation Committee of the Board. Ms. Evans will also be eligible to participate in the Companys various benefit plans.
Item 9.01 Financial Statements and Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
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VACCINEX, INC.
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Date: May 17, 2021
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By:
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/s/ Scott E. Royer
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Scott E. Royer
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Chief Financial Officer
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