Maurice Zauderer - 31 Mar 2023 Form 4 Insider Report for VACCINEX, INC. (VCNX)

Role
President and CEO, Director, 10%+ Owner
Signature
/s/ Scott E. Royer, Attorney-in-Fact for Maurice Zauderer
Issuer symbol
VCNX
Transactions as of
31 Mar 2023
Transactions value $
$300,000
Form type
4
Filing time
03 Apr 2023, 16:31:57 UTC
Previous filing
07 Dec 2022
Next filing
25 Sep 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VCNX Common Stock Award $300,000 +731,707 +16.6% $0.4100 5,142,691 31 Mar 2023 By Vaccinex (Rochester), L.L.C. F2
holding VCNX Common Stock 181,736 31 Mar 2023 Direct
holding VCNX Common Stock 213,209 31 Mar 2023 By Jeremy C. Zauderer Trust F1
holding VCNX Common Stock 212,161 31 Mar 2023 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
transaction VCNX Stock Option (Right to Buy) Award $0 +56,000 $0.000000 56,000 31 Mar 2023 Common Stock 56,000 $0.4395 Direct F7
holding VCNX Stock Option (Right to Buy) 2,589 31 Mar 2023 Common Stock 2,589 $14.90 Direct F3
holding VCNX Stock Option (Right to Buy) 2,589 31 Mar 2023 Common Stock 2,589 $14.90 Direct F3
holding VCNX Stock Option (Right to Buy) 3,325 31 Mar 2023 Common Stock 3,325 $7.10 Direct F3
holding VCNX Stock Option (Right to Buy) 20,000 31 Mar 2023 Common Stock 20,000 $4.29 Direct F3
holding VCNX Stock Option (Right to Buy) 28,400 31 Mar 2023 Common Stock 28,400 $6.68 Direct F4
holding VCNX Stock Option (Right to Buy) 14,000 31 Mar 2023 Common Stock 14,000 $2.93 Direct F5
holding VCNX Stock Option (Right to Buy) 28,000 31 Mar 2023 Common Stock 28,000 $1.29 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 February 25, 2020 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 April 2, 2021 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 1, 2022 grant date.
F7 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 31, 2023 grant date.