Statement of Changes in Beneficial Ownership (4)
May 13 2022 - 4:43PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Frieberg Jacob B. |
2. Issuer Name and Ticker or Trading Symbol
VACCINEX, INC.
[
VCNX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O VACCINEX, INC., 1895 MOUNT HOPE AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/12/2022 |
(Street)
ROCHESTER, NY 14620
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | | | | | | | | 63519 | D | |
Common Stock | | | | | | | | 94510 | I | By Benbow Estates, Ltd. (1) |
Common Stock | | | | | | | | 4121 | I | By Gee Eff Services Limited (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $13.60 | | | | | | | (3) | 9/15/2027 | Common Stock | 6396 | | 6396 | D | |
Stock Option (Right to Buy) | $5.26 | | | | | | | (3) | 3/30/2029 | Common Stock | 2501 | | 2501 | D | |
Stock Option (Right to Buy) | $7.78 | | | | | | | (3) | (4) | Common Stock | 7718 | | 7718 | D | |
Stock Option (Right to Buy) | $5.52 | | | | | | | (3) | 6/29/2029 | Common Stock | 2385 | | 2385 | D | |
Stock Option (Right to Buy) | $7.17 | | | | | | | (3) | 9/27/2029 | Common Stock | 1856 | | 1856 | D | |
Stock Option (Right to Buy) | $4.85 | | | | | | | (3) | 12/28/2029 | Common Stock | 2737 | | 2737 | D | |
Stock Option (Right to Buy) | $4.00 | | | | | | | (3) | 3/29/2030 | Common Stock | 3336 | | 3336 | D | |
Stock Option (Right to Buy) | $3.95 | | | | | | | (3) | (5) | Common Stock | 15679 | | 15679 | D | |
Stock Option (Right to Buy) | $3.61 | | | | | | | (3) | 6/28/2030 | Common Stock | 3756 | | 3756 | D | |
Stock Option (Right to Buy) | $1.78 | | | | | | | (3) | 9/28/2030 | Common Stock | 7626 | | 7626 | D | |
Stock Option (Right to Buy) | $2.07 | | | | | | | (3) | 12/29/2030 | Common Stock | 6545 | | 6545 | D | |
Stock Option (Right to Buy) | $2.98 | | | | | | | (3) | 3/31/2031 | Common Stock | 4535 | | 4535 | D | |
Stock Option (Right to Buy) | $2.15 | | | | | | | 5/11/2022 | (6) | Common Stock | 28586 | | 28586 | D | |
Stock Option (Right to Buy) | $2.8 | | | | | | | (3) | 6/28/2031 | Common Stock | 4804 | | 4804 | D | |
Stock Option (Right to Buy) | $2.16 | | | | | | | (3) | 9/28/2031 | Common Stock | 6233 | | 6233 | D | |
Stock Option (Right to Buy) | $1.04 | | | | | | | (3) | 12/29/2031 | Common Stock | 12856 | | 12856 | D | |
Stock Option (Right to Buy) | $1.32 | | | | | | | (3) | 3/28/2032 | Common Stock | 10032 | | 10032 | D | |
Stock Option (Right to Buy) | $1.12 | 5/12/2022 | | A | | 53254 | | 5/12/2023 | (7) | Common Stock | 53254 | $0 | 53254 | D | |
Explanation of Responses: |
(1) | Mr. Frieberg's spouse is the owner of Benbow Estates, Ltd. and Mr. Frieberg is an officer of Benbow Estates, Ltd. Mr. Frieberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(2) | Mr. Frieberg is the sole owner and President of Gee Eff Services Limited. |
(3) | Exercisable in full as of the date of this report. |
(4) | This option expires on May 14, 2029 or five years following retirement or cessation of services, whichever occurs first. |
(5) | This option expires on May 12, 2030 or five years following retirement or cessation of services, whichever occurs first. |
(6) | This option expires on May 9, 2031 or five years following retirement or cessation of services, whichever occurs first. |
(7) | This option was granted pursuant to the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and expires on May 9, 2032 or five years following retirement or cessation of services, whichever occurs first. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Frieberg Jacob B. C/O VACCINEX, INC. 1895 MOUNT HOPE AVENUE ROCHESTER, NY 14620 | X |
|
|
|
Signatures
|
/s/ Scott E. Royer, Attorney-in-Fact for Jacob B. Frieberg | | 5/13/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Vaccinex (NASDAQ:VCNX)
Historical Stock Chart
From Aug 2024 to Sep 2024
Vaccinex (NASDAQ:VCNX)
Historical Stock Chart
From Sep 2023 to Sep 2024