Vaccinex Inc.

18/11/2024 | Press release | Distributed by Public on 18/11/2024 20:07

Statement of Changes in Beneficial Ownership - Form 4

Ownership Submission
FORM 4
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 that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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
(Print or Type Responses)
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)
220 BAY STREET, SUITE 600 		3. Date of Earliest Transaction (Month/Day/Year)
11/14/2024
(Street)
TORONTO, A6 M5J 2W4 		4. If Amendment, Date 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
(City) (State) (Zip)
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 2,094 D
Common Stock 180 I By Pan Atlantic Holdings Ltd.(1)
Common Stock 16,724 I By Friedberg Global-Macro Hedge Fund Ltd.(2)
Common Stock 11/14/2024 A 30,756 A $3.25 1,051,389 I By FCMI Parent Co.(3)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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 control number. SEC 1474 (9-02)
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 Underlying Securities
(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
Warrant (Right to Buy) $0.0001 11/14/2024 A 584,646 (4) (4) Common Stock 584,646 $3.2499 584,646 I By FCMI Parent Co.(3)
Warrant (Right to Buy) $5.636 09/18/2024 09/18/2029 Common Stock 653,210 653,210 I By FCMI Parent Co.(3)
Warrant (Right to Buy) $0.0001 (4) (4) Common Stock 102,960 102,960 I By FCMI Parent Co.(3)
Warrant (Right to Buy) $0.0001 (4) (4) Common Stock 92,504 92,504 I By FCMI Parent Co.(3)

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
FRIEDBERG ALBERT
220 BAY STREET
SUITE 600
TORONTO, A6 M5J 2W4 		X X
FCMI Parent Co.
220 BAY STREET
SUITE 600
TORONTO, A6 M5J 2W4 		X

Signatures

/s/ Jill Sanchez, Attorney-in-Fact for Albert Friedberg 11/18/2024
**Signature of Reporting Person Date
FCMI Parent Co. By: /s/ Dan Scheiner, Vice President 11/18/2024
**Signature of Reporting Person Date

Explanation of Responses:

* 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).
(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. ("FCMI") and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
(4) These pre-funded warrants are currently exercisable, subject to a 39.99% beneficial ownership limitation on the reporting persons, at an initial exercise price of $0.0001 and will expire on the date they are exercised in full.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.