0001062993-24-006959.txt : 20240322 0001062993-24-006959.hdr.sgml : 20240322 20240322163238 ACCESSION NUMBER: 0001062993-24-006959 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240320 FILED AS OF DATE: 20240322 DATE AS OF CHANGE: 20240322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Ernest S. CENTRAL INDEX KEY: 0001747769 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38624 FILM NUMBER: 24775753 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] ORGANIZATION NAME: 03 Life Sciences 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 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2024-03-20 0001205922 VACCINEX, INC. VCNX 0001747769 Smith Ernest S. C/O VACCINEX, INC. 1895 MOUNT HOPE AVENUE ROCHESTER NY 14620 0 1 0 0 SVP, Research & CSO 0 Common Stock 39 D Stock Option (Right to Buy) 1491.0 2025-12-22 Common Stock 193 193 D Stock Option (Right to Buy) 1491.0 2025-12-23 Common Stock 24 24 D Stock Option (Right to Buy) 819.0 2029-03-14 Common Stock 38 38 D Stock Option (Right to Buy) 1274.7 2030-02-24 Common Stock 38 38 D Stock Option (Right to Buy) 615.3 2031-04-02 Common Stock 47 47 D Stock Option (Right to Buy) 270.9 2032-04-01 Common Stock 95 95 D Stock Option (Right to Buy) 83.9 2033-03-30 Common Stock 190 190 D Stock Option (Right to Buy) 8.32 2024-03-20 4 A 0 1341 0 A 2034-03-20 Common Stock 1341 1341 D Exercisable in full as of the date of this report. This option vests one-fourth on each of the first four anniversaries of the April 2, 2021 grant date, except as otherwise provided in the award notice. This option vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date, except as otherwise provided in the award notice. This option vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date, except as otherwise provided in the award notice. This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 20, 2024 grant date. All figures in this Form 4 reflect the Issuer's 1-for-15 reverse stock split effected on September 25, 2023 and 1-for-14 reverse stock split effected on February 19, 2024. /s/ Maurice Zauderer, Attorney-in-Fact for Ernest S. Smith 2024-03-22