Form Type: 4

SEC EDGAR Link
Accession Number:0000891839-21-000316
Date:2021-09-30
Issuer: VACCINEX, INC. (VCNX)
Original Submission Date:

Reporting Person:

FRIEBERG JACOB B.
C/O VACCINEX, INC.
1895 MOUNT HOPE AVENUE ROCHESTER, NY 14620

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-09-30 0 $0.00 63,519 direct
COMMON STOCK 2021-09-30 0 $0.00 4,420 indirect f1
COMMON STOCK 2021-09-30 0 $0.00 4,121 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 2.16 2021-09-30 deemed execution date A 6,233 (a) 2021-09-30 common stock 6,233 $2.16 6,233 direct
STOCK OPTION (RIGHT TO BUY) 13.6 deemed execution date 0 ( ) 2027-09-15 common stock 6,396 $13.60 6,396 direct
STOCK OPTION (RIGHT TO BUY) 5.26 deemed execution date 0 ( ) 2029-03-30 common stock 2,501 $5.26 2,501 direct
STOCK OPTION (RIGHT TO BUY) 7.78 deemed execution date 0 ( ) common stock 7,718 $7.78 7,718 direct
STOCK OPTION (RIGHT TO BUY) 5.52 deemed execution date 0 ( ) 2029-06-29 common stock 2,385 $5.52 2,385 direct
STOCK OPTION (RIGHT TO BUY) 7.17 deemed execution date 0 ( ) 2029-09-27 common stock 1,856 $7.17 1,856 direct
STOCK OPTION (RIGHT TO BUY) 4.85 deemed execution date 0 ( ) 2029-12-28 common stock 2,737 $4.85 2,737 direct
STOCK OPTION (RIGHT TO BUY) 4.0 deemed execution date 0 ( ) 2030-03-29 common stock 3,336 $4.00 3,336 direct
STOCK OPTION (RIGHT TO BUY) 3.95 deemed execution date 0 ( ) common stock 15,679 $3.95 15,679 direct
STOCK OPTION (RIGHT TO BUY) 3.61 deemed execution date 0 ( ) 2030-06-28 common stock 3,756 $3.61 3,756 direct
STOCK OPTION (RIGHT TO BUY) 1.78 deemed execution date 0 ( ) 2030-09-28 common stock 7,626 $1.78 7,626 direct
STOCK OPTION (RIGHT TO BUY) 2.07 deemed execution date 0 ( ) 2030-12-29 common stock 6,545 $2.07 6,545 direct
STOCK OPTION (RIGHT TO BUY) 2.98 deemed execution date 0 ( ) 2031-03-31 common stock 4,535 $2.98 4,535 direct
STOCK OPTION (RIGHT TO BUY) 2.15 deemed execution date 0 ( ) 2022-05-11 common stock 28,586 $2.15 28,586 direct
STOCK OPTION (RIGHT TO BUY) 2.8 deemed execution date 0 ( ) 2021-06-30 common stock 4,804 $2.80 4,804 direct
Footnotes
IDfootnote
f1 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.
f2 mr. frieberg is the sole owner and president of gee eff services limited.
f3 exercisable in full as of the date of this report.
f4 this option expires on may 14, 2029 or five years following retirement or cessation of services, whichever occurs first.
f5 this option expires on may 12, 2030 or five years following retirement or cessation of services, whichever occurs first.
f6 this option expires on may 9, 2031 or five years following retirement or cessation of services, whichever occurs first.
f7 this option was granted pursuant to the company's 2018 omnibus incentive plan in a transaction exempt under rule 16b-3 and, except as otherwise provided in the award notice, expires on june 28, 2031.
f8 this option was granted pursuant to the company's 2018 omnibus incentive plan in a transaction exempt under rule 16b-3 and, except as otherwise provided in the award notice, expires on september 28, 2031.
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