ALBERT FRIEDBERG - 24 May 2021 Form 4 Insider Report for VACCINEX, INC. (VCNX)

Role
Director, 10%+ Owner
Signature
/s/ Scott E. Royer, Attorney-in-Fact for Albert D. Friedberg
Issuer symbol
VCNX
Transactions as of
24 May 2021
Transactions value $
$0
Form type
4
Filing time
24 Jun 2021, 16:41:48 UTC
Next filing
31 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VCNX Common Stock Conversion of derivative security +1,180,051 +15.46% 8,810,652 24 May 2021 By FCMI Parent Co. F3, F5
transaction VCNX Common Stock Conversion of derivative security +967,983 967,983 24 May 2021 By FCMI Financial Corporation F4, F6
holding VCNX Common Stock 439,555 24 May 2021 Direct
holding VCNX Common Stock 37,633 24 May 2021 By Pan-Atlantic Bank & Trust Ltd. F1
holding VCNX Common Stock 1,710,093 24 May 2021 By Friedberg Global-Macro Hedge Fund Ltd. F2

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 Option (Right to Acquire) Conversion of derivative security -21,475,000 -100% 0 24 May 2021 Common Stock 1,180,051 By FCMI Parent Co. F3, F5
transaction VCNX Option (Right to Acquire) Conversion of derivative security -9,679,833 -100% 0 24 May 2021 Common Stock 967,983 By FCMI Financial Corporation F4, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Mr. Friedberg is the majority owner of Pan Atlantic Bank & Trust Ltd. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F2 Mr. Friedberg possesses voting and dispositive power over the reported securities and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F3 Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F4 FCMI Financial Corp. is a wholly-owned subsidiary of FCMI Parent Co. Mr. Friedberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein.
F5 Partnership interests in VX3 (DE) LP, or VX3 were exchanged into shares of Common Stock on a 1-for-0.05495 basis.
F6 Limited partnership units of Vaccinex Products, LP were exchanged into shares of Common Stock on a 1-for-10 basis.