0000891839-21-000135.txt : 20210512 0000891839-21-000135.hdr.sgml : 20210512 20210512162219 ACCESSION NUMBER: 0000891839-21-000135 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210511 FILED AS OF DATE: 20210512 DATE AS OF CHANGE: 20210512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frieberg Jacob B. CENTRAL INDEX KEY: 0001748346 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 21915438 MAIL ADDRESS: STREET 1: 1895 MOUNT HOPE AVENUE CITY: ROCHESTER STATE: NY ZIP: 14620 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VACCINEX, INC. CENTRAL INDEX KEY: 0001205922 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 161603202 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1895 MOUNT HOPE AVE CITY: ROCHESTER STATE: NY ZIP: 14620 BUSINESS PHONE: 585-271-2700 MAIL ADDRESS: STREET 1: 1895 MOUNT HOPE AVE CITY: ROCHESTER STATE: NY ZIP: 14620 FORMER COMPANY: FORMER CONFORMED NAME: VACCINEX INC DATE OF NAME CHANGE: 20021114 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2021-05-11 0001205922 VACCINEX, INC. VCNX 0001748346 Frieberg Jacob B. C/O VACCINEX, INC. 1895 MOUNT HOPE AVENUE ROCHESTER NY 14620 1 0 0 0 Common Stock 52866 D Option (Right to Acquire) Common Stock 4420 44200 D Option (Right to Acquire) Common Stock 4420 44200 I By Benbow Estates, Ltd. Option (Right to Acquire) Common Stock 4121 75000 I By Gee Eff Services Limited Stock Option (Right to Buy) 13.60 2027-09-15 Common Stock 6396 6396 D Stock Option (Right to Buy) 5.26 2029-03-30 Common Stock 2501 2501 D Stock Option (Right to Buy) 7.78 Common Stock 7718 7718 D Stock Option (Right to Buy) 5.52 2029-06-29 Common Stock 2385 2385 D Stock Option (Right to Buy) 7.17 2029-09-27 Common Stock 1856 1856 D Stock Option (Right to Buy) 4.85 2029-12-28 Common Stock 2737 2737 D Stock Option (Right to Buy) 4.00 2030-03-29 Common Stock 3336 3336 D Stock Option (Right to Buy) 3.95 2021-05-14 Common Stock 15679 15679 D Stock Option (Right to Buy) 3.61 2030-06-28 Common Stock 3756 3756 D Stock Option (Right to Buy) 1.78 2030-09-28 Common Stock 7626 7626 D Stock Option (Right to Buy) 2.07 2030-12-29 Common Stock 6545 6545 D Stock Option (Right to Buy) 2.98 2031-03-31 Common Stock 4535 4535 D Stock Option (Right to Buy) 2.15 2021-05-11 4 A 0 28586 0 A 2022-05-11 Common Stock 28586 28586 D Limited partnership units of Vaccinex Products, LP, which are presently exchangeable into shares of Common Stock on a 1-for-10 basis at the holder's option. 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. Partnership interests in VX3 (DE) LP, or VX3, which are presently exchangeable into shares of Common Stock on a 1-for-0.05495 basis at the holder's option. On August 13, 2018, Gee Eff Services Limited entered into an exchange agreement with the Issuer and the other partners of VX3 that provides each VX3 partner the right to exchange all, but not less than all, of its partnership interests in VX3 for shares of Common Stock. The option has no expiration date. Mr. Frieberg is the sole owner and President of Gee Eff Services Limited. Exercisable in full as of the date of this report. This option expires on May 14, 2029 or five years following retirement or cessation of services, whichever occurs first. This option expires on May 12, 2030 or five years following retirement or cessation of services, whichever occurs first. This option was granted pursuant to the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and expires on May 9, 2031 or five years following retirement or cessation of services, whichever occurs first. /s/ Scott E. Royer, Attorney-in-Fact for Jacob B. Frieberg 2021-05-12