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VCNX Vaccinex Inc

6.05
-0.13 (-2.10%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Vaccinex Inc NASDAQ:VCNX NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.13 -2.10% 6.05 5.01 6.61 6.59 6.01 6.01 2,740 22:16:11

Statement of Changes in Beneficial Ownership (4)

24/06/2021 9:42pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

FRIEDBERG ALBERT
2. Issuer Name and Ticker or Trading Symbol

VACCINEX, INC. [ VCNX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    __X__ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

181 BAY STREET, SUITE 250
3. Date of Earliest Transaction (MM/DD/YYYY)

5/24/2021
(Street)

TORONTO, A6 M5J 2T3
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock         439555 D  
Common Stock         37633 I By Pan-Atlantic Bank & Trust Ltd. (1)
Common Stock         1710093 I By Friedberg Global-Macro Hedge Fund Ltd. (2)
Common Stock 5/24/2021  C  1180051 A (5)8810652 I By FCMI Parent Co. (3)
Common Stock 5/24/2021  C  967983 A (6)967983 I By FCMI Financial Corporation (4)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Option (Right to Acquire)  (5)5/24/2021  C     21475000   (5) (5)Common Stock 1180051  (5)0 I By FCMI Parent Co. (3)
Option (Right to Acquire)  (6)5/24/2021  C     9679833   (6) (6)Common Stock 967983  (6)0 I By FCMI Financial Corporation (4)

Explanation of Responses:
(1) Mr. Friedberg is the majority owner of Pan Atlantic Bank & Trust Ltd. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
(2) Mr. Friedberg possesses voting and dispositive power over the reported securities and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
(3) Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
(4) FCMI Financial Corp. is a wholly-owned subsidiary of FCMI Parent Co. Mr. Friedberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interests therein.
(5) Partnership interests in VX3 (DE) LP, or VX3 were exchanged into shares of Common Stock on a 1-for-0.05495 basis.
(6) Limited partnership units of Vaccinex Products, LP were exchanged into shares of Common Stock on a 1-for-10 basis.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
FRIEDBERG ALBERT
181 BAY STREET
SUITE 250
TORONTO, A6 M5J 2T3
XX

FCMI Parent Co.
181 BAY STREET
SUITE 250
TORONTO, A6 M5J 2T3

X


Signatures
/s/ Scott E. Royer, Attorney-in-Fact for Albert D. Friedberg6/24/2021
**Signature of Reporting PersonDate

FCMI Parent Co. By: /s/ Dan Scheiner, Vice President6/24/2021
**Signature of Reporting PersonDate

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