Statement of Changes in Beneficial Ownership (4)
25 June 2021 - 6:42AM
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
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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FRIEDBERG ALBERT |
2. Issuer Name and Ticker or Trading Symbol
VACCINEX, INC.
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VCNX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(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)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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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)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 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 of Derivative Security: 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 |
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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FRIEDBERG ALBERT 181 BAY STREET SUITE 250 TORONTO, A6 M5J 2T3 | X | X |
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FCMI Parent Co. 181 BAY STREET SUITE 250 TORONTO, A6 M5J 2T3 |
| X |
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Signatures
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/s/ Scott E. Royer, Attorney-in-Fact for Albert D. Friedberg | | 6/24/2021 |
**Signature of Reporting Person | Date |
FCMI Parent Co. By: /s/ Dan Scheiner, Vice President | | 6/24/2021 |
**Signature of Reporting Person | Date |
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