Maurice Zauderer - 27 Jan 2022 Form 4 Insider Report for VACCINEX, INC. (VCNX)

Role
President and CEO, Director
Signature
/s/ Scott E. Royer, Attorney-in-Fact for Maurice Zauderer
Issuer symbol
VCNX
Transactions as of
27 Jan 2022
Transactions value $
$1,999,999
Form type
4
Filing time
31 Jan 2022, 15:23:00 UTC
Next filing
04 Apr 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 Purchase $2M +1.8M +164.14% $1.11 2.9M 27 Jan 2022 By Vaccinex (Rochester), L.L.C. F2
holding VCNX Common Stock 178K 27 Jan 2022 Direct
holding VCNX Common Stock 213K 27 Jan 2022 By Jeremy C. Zauderer Trust F1
holding VCNX Common Stock 212K 27 Jan 2022 By Jordan M. Zauderer Trust F1

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
holding VCNX Stock Option (Right to Buy) 2.59K 27 Jan 2022 Common Stock 2.59K $14.90 Direct F3
holding VCNX Stock Option (Right to Buy) 2.59K 27 Jan 2022 Common Stock 2.59K $14.90 Direct F3
holding VCNX Stock Option (Right to Buy) 3.33K 27 Jan 2022 Common Stock 3.33K $7.10 Direct F3
holding VCNX Stock Option (Right to Buy) 20K 27 Jan 2022 Common Stock 20K $4.29 Direct F4
holding VCNX Stock Option (Right to Buy) 28.4K 27 Jan 2022 Common Stock 28.4K $6.68 Direct F5
holding VCNX Stock Option (Right to Buy) 14K 27 Jan 2022 Common Stock 14K $2.93 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Dr. Zauderer exercises voting control over shares held by this trust and disclaims beneficial ownership over these shares except to the extent of his pecuniary interest therein.
F2 Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F3 Exercisable in full as of the date of this report.
F4 This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 15, 2019 grant date.
F5 This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the February 25, 2020 grant date.
F6 This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 2, 2021 grant date.