SEC Form 4 · accession 0001123292-18-000927
VACCINEX, INC. · VCNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
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 StockF1 | Aug 13, 2018 | C | 1,346,139 | — | A | 1,346,139 | D | |
| Common StockF2 | Aug 13, 2018 | C | 549,444 | — | A | 1,895,583 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Convertible Preferred StockF1 | — | Aug 13, 2018 | C | 7,205,882 | D | — | — | Common Stock | 1,346,139 | 0 | D |
| Series D Convertible Preferred StockF2 | — | Aug 13, 2018 | C | 5,494,505 | D | — | — | Common Stock | 549,444 | 0 | D |
Explanation of responses
- F1The reported securities converted into shares of Common Stock on a 0.1868-for-1 basis immediately prior to the consummation of the Issuer's initial public offering.
- F2The 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.
Remarks
Michael Shumacher is the sole manager of Antibody Investments LLC. Mr. Shumacher disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.