SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
FRIEDBERG ALBERT

(Last) (First) (Middle)
220 BAY STREET
SUITE 600

(Street)
TORONTO A6 M5J 2W4

(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
10/03/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 29,304 D
Common Stock 2,509 I By Pan Atlantic Holdings Ltd.(1)
Common Stock 234,127 I By Friedberg Global-Macro Hedge Fund Ltd.(2)
Common Stock 10/03/2023 P 3,000,000 A $1 4,747,794(3) I By FCMI Parent Co.(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. 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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrant (Right to Buy) $1 10/03/2023 P 3,000,000 10/03/2023 10/03/2028 Common Stock 3,000,000 $1 3,000,000 I By FCMI Parent Co.(3)
1. Name and Address of Reporting Person*
FRIEDBERG ALBERT

(Last) (First) (Middle)
220 BAY STREET
SUITE 600

(Street)
TORONTO A6 M5J 2W4

(City) (State) (Zip)
1. Name and Address of Reporting Person*
FCMI Parent Co.

(Last) (First) (Middle)
220 BAY STREET
SUITE 600

(Street)
TORONTO A6 M5J 2W4

(City) (State) (Zip)
Explanation of Responses:
1. Mr. Friedberg is the majority owner of Pan Atlantic Holdings 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.
Remarks:
On September 25, 2023, Vaccinex, Inc. effected a 1-for-15 reverse stock split (the "Reverse Stock Split"). The figures in this Form 4 reflect the Reverse Stock Split.
/s/ Scott E. Royer, Attorney-in-Fact for Albert Friedberg 10/05/2023
FCMI Parent Co. By: /s/ Dan Scheiner, Vice President 10/05/2023
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Vaccinex (NASDAQ:VCNX)
과거 데이터 주식 차트
부터 4월(4) 2024 으로 5월(5) 2024 Vaccinex 차트를 더 보려면 여기를 클릭.
Vaccinex (NASDAQ:VCNX)
과거 데이터 주식 차트
부터 5월(5) 2023 으로 5월(5) 2024 Vaccinex 차트를 더 보려면 여기를 클릭.