Initial Statement of Beneficial Ownership (3)
May 21 2021 - 5:04PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Evans Elizabeth E. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/11/2021
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3. Issuer Name and Ticker or Trading Symbol
VACCINEX, INC. [VCNX]
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(Last)
(First)
(Middle)
C/O VACCINEX, INC., 1895 MOUNT HOPE AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
ROCHESTER, NY 14620
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 9600 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | (1) | 12/22/2025 | Common Stock | 9610 | $7.1 | D | |
Stock Option (Right to Buy) | (1) | 12/23/2025 | Common Stock | 8605 | $7.1 | D | |
Stock Option (Right to Buy) | (2) | 3/14/2029 | Common Stock | 12400 | $3.9 | D | |
Stock Option (Right to Buy) | (3) | 4/4/2030 | Common Stock | 10000 | $3.82 | D | |
Stock Option (Right to Buy) | (4) | 4/3/2031 | Common Stock | 8000 | $2.93 | D | |
Explanation of Responses: |
(1) | This option is fully exercisable as of the date of this report |
(2) | This option has vested with respect to 6,200 shares and the remainder vests in two equal annual installments beginning on March 15, 2022. |
(3) | This option has vested with respect to 2,500 shares and the remainder vests in three equal annual installments beginning on April 3, 2022. |
(4) | This option vests one-fourth on each of the first four anniversaries of the April 2, 2021 grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Evans Elizabeth E. C/O VACCINEX, INC. 1895 MOUNT HOPE AVENUE ROCHESTER, NY 14620 |
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| Chief Operating Officer |
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Signatures
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/s/ Scott E. Royer, Attorney-in-Fact for Elizabeth Evans | | 5/21/2021 |
**Signature of Reporting Person | Date |
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