SEC Form 4 · accession 0001123292-18-000926

VACCINEX, INC. · VCNX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

Officer — President and CEO · Director · 10% Owner

10% Owner

Period of report

Aug 13, 2018

Accepted (ET)

Aug 15, 2018 · 4:49 pm EDT

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 Stock^F3	Aug 13, 2018	C	93,547	—	A	177,748	D
Common Stock^F3,F1	Aug 13, 2018	C	95,448	—	A	213,209	I	By Jeremy C. Zauderer Trust
Common Stock^F3,F1	Aug 13, 2018	C	95,448	—	A	212,161	I	By Jordan M. Zauderer Trust
Common Stock^F4,F2	Aug 13, 2018	C	815,698	—	A	815,698	I	By Vaccinex (Rochester), L.L.C.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Convertible Preferred Stock^F3	—	Aug 13, 2018	C	569,993	D	—	—	Common Stock	93,547	D
Series B Convertible Preferred Stock^F3,F1	—	Aug 13, 2018	C	581,577	D	—	—	Common Stock	95,448	I
Series B Convertible Preferred Stock^F3,F1	—	Aug 13, 2018	C	581,577	D	—	—	Common Stock	95,448	I
Series D Convertible Preferred Stock^F4,F2	—	Aug 13, 2018	C	8,157,067	D	—	—	Common Stock	815,698	I

F1Maurice 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.
F2Mr. 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.
F3The reported securities converted into shares of Common Stock on a 0.1641-for-1 basis immediately prior to the consummation of the Issuer's initial public offering.
F4The reported securities converted into shares of Common Stock on a 1-for-10 basis immediately prior to the consummation of the Issuer's initial public offering.