Statement of Changes in Beneficial Ownership (4)
May 13 2022 - 04:43PM
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. |
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