Sec Form 4 Filing - Yanni Barbara @ VACCINEX, INC. - 2021-05-11

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Yanni Barbara
2. Issuer Name and Ticker or Trading Symbol
VACCINEX, INC. [ VCNX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O VACCINEX, INC., 1895 MOUNT HOPE AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
05/11/2021
(Street)
ROCHESTER, NY14620
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ 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 (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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
Stock Option (Right to Buy) $ 13.6 ( 1 ) 09/15/2027 Common Stock 6,396 6,396 D
Stock Option (Right to Buy) $ 7.78 05/15/2020 ( 2 ) Common Stock 7,718 7,718 D
Stock Option (Right to Buy) $ 3.95 05/14/2021 ( 3 ) Common Stock 15,679 15,679 D
Stock Option (Right to Buy) $ 2.15 05/11/2021 A 28,586 05/11/2022 ( 4 ) Common Stock 28,586 $ 0 28,586 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Yanni Barbara
C/O VACCINEX, INC.
1895 MOUNT HOPE AVENUE
ROCHESTER, NY14620
X
Signatures
/s/ Scott E. Royer, Attorney-in-Fact for Barbara Yanni 05/12/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Exercisable in full as of the date of this report.
( 2 )This option expires on May 14, 2029 or five years following retirement or cessation of services, whichever occurs first.
( 3 )This option expires on May 12, 2030 or five years following retirement or cessation of services, whichever occurs first.
( 4 )This option was granted pursuant to the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and expires on May 9, 2031 or five years following retirement or cessation of services, whichever occurs first.

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).

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