# EDGAR Filing Document

**Accession Number:** 0001205922
**File Stem:** 0001062993-23-000300
**Filing Date:** 2023-1
**Character Count:** 9617
**Document Hash:** 95d69a0b887b182f1a62590081b0f8fb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-000300.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001062993-23-000300

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Frieberg Jacob B.
- **CENTRAL INDEX KEY:** 0001748346

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38624
- **FILM NUMBER:** 23506935

**MAIL ADDRESS:**
- **STREET 1:** 1895 MOUNT HOPE AVENUE
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14620
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** VACCINEX, INC.
- **CENTRAL INDEX KEY:** 0001205922
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 161603202
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1895 MOUNT HOPE AVE
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14620
- **BUSINESS PHONE:** 585-271-2700

**MAIL ADDRESS:**
- **STREET 1:** 1895 MOUNT HOPE AVE
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14620

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** VACCINEX INC
- **DATE OF NAME CHANGE:** 20021114

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>Frieberg Jacob B.<br><sub>(Last) (First) (Middle)</sub><br>C/O VACCINEX, INC.<br>1895 MOUNT HOPE AVENUE<br><sub>(Street)</sub><br>ROCHESTER, NY 14620<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>VACCINEX, INC. [ VCNX ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock |  |  |  |  |  |  |  | 63519 | D |  |
| Common Stock |  |  |  |  |  |  |  | 94510 | I | By Benbow Estates, Ltd.<sup>(1)</sup> |
| Common Stock |  |  |  |  |  |  |  | 193049 | I | By Gee Eff Services Limited<sup>(2)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $13.60 |  |  |  |  |  |  | <sup>(3)</sup> | 2027-09-15 | Common Stock | 6396 |  | 6396 | D |  |
| Stock Option (Right to Buy) | $5.26 |  |  |  |  |  |  | <sup>(3)</sup> | 2029-03-30 | Common Stock | 2501 |  | 2501 | D |  |
| Stock Option (Right to Buy) | $7.78 |  |  |  |  |  |  | <sup>(3)</sup> | <sup>(4)</sup> | Common Stock | 7718 |  | 7718 | D |  |
| Stock Option (Right to Buy) | $5.52 |  |  |  |  |  |  | <sup>(3)</sup> | 2029-06-29 | Common Stock | 2385 |  | 2385 | D |  |
| Stock Option (Right to Buy) | $7.17 |  |  |  |  |  |  | <sup>(3)</sup> | 2029-09-27 | Common Stock | 1856 |  | 1856 | D |  |
| Stock Option (Right to Buy) | $4.85 |  |  |  |  |  |  | <sup>(3)</sup> | 2029-12-28 | Common Stock | 2737 |  | 2737 | D |  |
| Stock Option (Right to Buy) | $4.00 |  |  |  |  |  |  | <sup>(3)</sup> | 2030-03-29 | Common Stock | 3336 |  | 3336 | D |  |
| Stock Option (Right to Buy) | $3.95 |  |  |  |  |  |  | <sup>(3)</sup> | <sup>(5)</sup> | Common Stock | 15679 |  | 15679 | D |  |
| Stock Option (Right to Buy) | $3.61 |  |  |  |  |  |  | <sup>(3)</sup> | 2030-06-28 | Common Stock | 3756 |  | 3756 | D |  |
| Stock Option (Right to Buy) | $1.78 |  |  |  |  |  |  | <sup>(3)</sup> | 2030-09-28 | Common Stock | 7626 |  | 7626 | D |  |
| Stock Option (Right to Buy) | $2.07 |  |  |  |  |  |  | <sup>(3)</sup> | 2030-12-29 | Common Stock | 6545 |  | 6545 | D |  |
| Stock Option (Right to Buy) | $2.98 |  |  |  |  |  |  | <sup>(3)</sup> | 2031-03-31 | Common Stock | 4535 |  | 4535 | D |  |
| Stock Option (Right to Buy) | $2.15 |  |  |  |  |  |  | <sup>(3)</sup> | <sup>(6)</sup> | Common Stock | 28586 |  | 28586 | D |  |
| Stock Option (Right to Buy) | $2.8 |  |  |  |  |  |  | <sup>(3)</sup> | 2031-06-28 | Common Stock | 4804 |  | 4804 | D |  |
| Stock Option (Right to Buy) | $2.16 |  |  |  |  |  |  | <sup>(3)</sup> | 2031-09-28 | Common Stock | 6233 |  | 6233 | D |  |
| Stock Option (Right to Buy) | $1.04 |  |  |  |  |  |  | <sup>(3)</sup> | 2031-12-29 | Common Stock | 12856 |  | 12856 | D |  |
| Stock Option (Right to Buy) | $1.32 |  |  |  |  |  |  | <sup>(3)</sup> | 2032-03-28 | Common Stock | 10032 |  | 10032 | D |  |
| Stock Option (Right to Buy) | $1.12 |  |  |  |  |  |  | 2023-05-12 | <sup>(7)</sup> | Common Stock | 53254 |  | 53254 | D |  |
| Stock Option (Right to Buy) | $1.08 |  |  |  |  |  |  | <sup>(3)</sup> | 2032-06-27 | Common Stock | 12064 |  | 12064 | D |  |
| Stock Option (Right to Buy) | $0.495 |  |  |  |  |  |  | <sup>(3)</sup> | 2032-09-27 | Common Stock | 26260 |  | 26260 | D |  |
| Stock Option (Right to Buy) | $0.645 | 2022-12-31 |  | A |  | 19852 |  | 2022-12-31 | 2032-12-28 | Common Stock | 19852 | 0.44<sup>(8)</sup> | 19852 | D |  |

---

### Footnotes:

(1) Mr. Frieberg's spouse is the owner of Benbow Estates, Ltd. and Mr. Frieberg is an officer of Benbow Estates, Ltd. Mr. Frieberg disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

(2) Mr. Frieberg is the sole owner and President of Gee Eff Services Limited.

(3) Exercisable in full as of the date of this report.

(4) This option expires on May 14, 2029 or five years following retirement or cessation of services, whichever occurs first.

(5) This option expires on May 12, 2030 or five years following retirement or cessation of services, whichever occurs first.

(6) This option expires on May 9, 2031 or five years following retirement or cessation of services, whichever occurs first.

(7) This option expires on May 9, 2032 or five years following retirement or cessation of services, whichever occurs first.

(8) Pursuant to the Issuer's Director Compensation Plan, in a transaction exempt under Rule 16b-3, the reporting person elected to receive these options in lieu of $8,750 for retainer and meeting fees during the fourth quarter of 2022. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable.

**Signature:** /s/ Scott E. Royer, Attorney-in-Fact for Jacob B. Frieberg  
**Date:** 2023-01-04

### Remarks:

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.**