SEC Form 4 · accession 0000891839-19-000022
VACCINEX, INC. · VCNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott E. Royer
Officer — Chief Financial Officer
Period of report
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 4:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001205922
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 15, 2019 | P | 1,688 | $4.31 | A | 1,999 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F2 | $13.60 | holding | — | — | — | — | Feb 21, 2028 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.30 to $4.3928. Mr. Royer undertakes to provide to Vaccinex, Inc., any securityholder of Vaccinex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
- F2This option initially vests in quarterly installments of 1,526 shares for each of four quarters beginning on May 21, 2018. The remainder vests in three equal annual installments beginning February 21, 2020.