4//SEC Filing
FCMI Parent Co. 4
Accession 0001123292-18-000928
CIK 0001205922other
Filed
Aug 14, 8:00 PM ET
Accepted
Aug 15, 4:50 PM ET
Size
37.5 KB
Accession
0001123292-18-000928
Insider Transaction Report
Form 4
VACCINEX, INC.VCNX
FRIEDBERG ALBERT
Director10% Owner
Transactions
- Conversion
Common Stock
2018-08-13+439,555→ 439,555 total - Conversion
Common Stock
2018-08-13+37,633→ 37,633 total(indirect: By Trust) - Conversion
Common Stock
2018-08-13+500,570→ 944,864 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+599,957→ 1,544,821 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+204,145→ 1,748,966 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+480,822→ 2,229,788 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+683,681→ 2,913,469 total(indirect: By FCMI Parent Co.) - Purchase
Common Stock
2018-08-13$12.00/sh+1,875,000$22,500,000→ 4,788,469 total(indirect: By FCMI Parent Co.) - Purchase
Common Stock
2018-08-13$12.00/sh+583,333$6,999,996→ 583,333 total(indirect: By Global Macro Hedge Fund Ltd.) - Conversion
Series D Convertible Preferred Stock
2018-08-13−4,395,604→ 0 total→ Common Stock (439,555 underlying) - Conversion
Series A Convertible Preferred Stock
2018-08-13−376,334→ 0 total(indirect: By Trust)→ Common Stock (37,633 underlying) - Conversion
Series A Convertible Preferred Stock
2018-08-13−5,005,755→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (500,570 underlying) - Conversion
Series B Convertible Preferred Stock
2018-08-13−3,655,595→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (599,957 underlying) - Conversion
Series B1 Convertible Preferred Stock
2018-08-13−2,041,477→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (204,145 underlying) - Conversion
Series B2 Convertible Preferred Stock
2018-08-13−3,877,641→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (480,822 underlying) - Conversion
Series D Convertible Preferred Stock
2018-08-13−6,836,890→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (683,681 underlying) - Other
Option (Right to Acquire)
2018-08-13+21,475,000→ 21,475,000 total(indirect: By FCMI Parent Co.)→ Common Stock (1,800,051 underlying)
FCMI Parent Co.
10% Owner
Transactions
- Conversion
Common Stock
2018-08-13+439,555→ 439,555 total - Conversion
Common Stock
2018-08-13+37,633→ 37,633 total(indirect: By Trust) - Conversion
Common Stock
2018-08-13+500,570→ 944,864 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+599,957→ 1,544,821 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+204,145→ 1,748,966 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+480,822→ 2,229,788 total(indirect: By FCMI Parent Co.) - Conversion
Common Stock
2018-08-13+683,681→ 2,913,469 total(indirect: By FCMI Parent Co.) - Purchase
Common Stock
2018-08-13$12.00/sh+1,875,000$22,500,000→ 4,788,469 total(indirect: By FCMI Parent Co.) - Purchase
Common Stock
2018-08-13$12.00/sh+583,333$6,999,996→ 583,333 total(indirect: By Global Macro Hedge Fund Ltd.) - Conversion
Series D Convertible Preferred Stock
2018-08-13−4,395,604→ 0 total→ Common Stock (439,555 underlying) - Conversion
Series A Convertible Preferred Stock
2018-08-13−376,334→ 0 total(indirect: By Trust)→ Common Stock (37,633 underlying) - Conversion
Series A Convertible Preferred Stock
2018-08-13−5,005,755→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (500,570 underlying) - Conversion
Series B Convertible Preferred Stock
2018-08-13−3,655,595→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (599,957 underlying) - Conversion
Series B1 Convertible Preferred Stock
2018-08-13−2,041,477→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (204,145 underlying) - Conversion
Series B2 Convertible Preferred Stock
2018-08-13−3,877,641→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (480,822 underlying) - Conversion
Series D Convertible Preferred Stock
2018-08-13−6,836,890→ 0 total(indirect: By FCMI Parent Co.)→ Common Stock (683,681 underlying) - Other
Option (Right to Acquire)
2018-08-13+21,475,000→ 21,475,000 total(indirect: By FCMI Parent Co.)→ Common Stock (1,800,051 underlying)
Footnotes (7)
- [F1]The reported securities converted into shares of Common Stock on a 1-for-10 basis immediately prior to the consummation of the Issuer's initial public offering.
- [F2]Albert D. 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.
- [F3]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.
- [F4]The reported securities converted into shares of Common Stock on a 0.1641-for-1 basis immediately prior to the consummation of the Issuer's initial public offering.
- [F5]The reported securities converted into shares of Common Stock on a 0.124-for-1 basis immediately prior to the consummation of the Issuer's initial public offering.
- [F6]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.
- [F7]Partnership interests in VX3 (DE) LP, or VX3, which are exchangeable into shares of Common Stock on a 1-for-0.05495 basis at the holder's option. On August 13, 2018, FCMI Parent Co. entered into an exchange agreement with the Issuer and the other partners of VX3 that provides each VX3 partner the right to exchange all, but not less than all, of its partnership interests in VX3 for shares of Common Stock. The option has no expiration date.
Documents
Issuer
VACCINEX, INC.
CIK 0001205922
Entity typeother
IncorporatedNova Scotia, Canada
Related Parties
1- filerCIK 0001678258
Filing Metadata
- Form type
- 4
- Filed
- Aug 14, 8:00 PM ET
- Accepted
- Aug 15, 4:50 PM ET
- Size
- 37.5 KB