Vaccinex Insider Maurice Zauderer Updates Stock Ownership

TL;DR

**Maurice Zauderer just updated his Vaccinex stock ownership, signaling his current stake in the company.**

AI Summary

Maurice Zauderer, a key figure at Vaccinex, Inc., filed an Amendment No. 4 to his Schedule 13D on February 8, 2024. This filing updates his beneficial ownership of Vaccinex's Common Stock, par value $0.0001 per share. Investors should note this filing as it provides current information on the holdings of a significant insider, which can signal confidence or concerns about the company's future direction.

Why It Matters

This filing provides transparency into the holdings of a significant insider, Maurice Zauderer, offering insights into his current stake in Vaccinex, Inc. and potentially influencing investor sentiment.

Risk Assessment

Risk Level: low — This filing is an amendment to disclose updated ownership information by an insider, which is a routine regulatory update and does not inherently indicate high risk.

Analyst Insight

Investors should review the full filing to understand the specific changes in Maurice Zauderer's beneficial ownership, as this can provide context for his confidence in Vaccinex, Inc.'s future.

Key Players & Entities

• Maurice Zauderer (person) — Reporting Person and key figure at Vaccinex, Inc.
• VACCINEX, INC. (company) — The Issuer of the Common Stock
• February 8, 2024 (date) — Date of the event requiring the filing of this statement
• $0.0001 (dollar_amount) — Par Value per share of Vaccinex Common Stock

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, Par Value $0.0001 per share (Title of Class of Securiti
• $0.725 — ) of the Issuer at a purchase price of $0.725 per share and accompanying Warrant, pur
• $1.00 — ely exercisable at an exercise price of $1.00 per share and will expire five years fr
• $300,000.00 — the Private Placement was approximately $300,000.00. Vaccinex LLC used working capital in c

Filing Documents

• d749313dsc13da.htm (SC 13D/A) — 63KB
• d749313dex9911.htm (EX-99.11) — 23KB
• 0001193125-24-032098.txt ( ) — 88KB

of the Initial Schedule 13D is hereby amended by the addition of the following information

Item 3 of the Initial Schedule 13D is hereby amended by the addition of the following information: On February 8, 2024, Vaccinex LLC purchased 413,793 shares of Common Stock of the Issuer and warrants exercisable for the purchase of 413,793 shares of Common Stock (the Warrants ) of the Issuer at a purchase price of $0.725 per share and accompanying Warrant, pursuant to a private placement agreement entered into with the Issuer on February 6, 2024, in Rochester, New York (the Private Placement ). The Warrants are immediately exercisable at an exercise price of $1.00 per share and will expire five years from the date of issuance. The aggregate amount paid by Vaccinex LLC for the shares of Common Stock and Warrants it acquired in the Private Placement was approximately $300,000.00. Vaccinex LLC used working capital in connection with this transaction. Item4. Purpose of Transaction

of the Initial Schedule 13D is hereby amended by the addition of the following information

Item 4 of the Initial Schedule 13D is hereby amended by the addition of the following information: Vaccinex LLC and the Issuer entered into a Securities Purchase Agreement dated February 6, 2024 (the Securities Purchase Agreement ), pursuant to which Vaccinex LLC purchased 413,793 shares of Common Stock from the Issuer and 413,793 Warrants at a combined purchase price of $0.725 per share and accompanying Warrant, resulting in a total purchase price of approximately $300,000.00. In the Securities Purchase Agreement, the Issuer states that it intends to use the net proceeds from the sale of the Common Stock and Warrants for working capital and other general corporate purposes. Vaccinex LLC acquired the Common Stock and Warrants reported herein for investment and to support the Issuers research and development activities. For additional information regarding the Securities Purchase Agreement, see Item 6. The Reporting Persons do not have any present intention or arrangements to acquire additional shares of Common Stock. The Reporting Persons do not have any present intention to sell any Common Stock that will be included in any registration statement, and note that their ability to effect dispositions of Common Stock, other than pursuant to the registration statement, or prior shelf registration reserve the right to take, in the future, such actions with respect to their investment in the Issuer as they deem appropriate. Except as described herein, the Reporting Persons do not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with re

of the Initial Schedule 13D is hereby amended and restated in its entirety as follows

Item 5 of the Initial Schedule 13D is hereby amended and restated in its entirety as follows: (a) See rows (11) and (13) of the cover pages to this filing for the aggregate number of shares of Common Stock and percentage of the shares of Common Stock beneficially owned by the Reporting Persons. (b) See rows (7) through (10) of the cover pages to this filing for the number of shares of Common Stock as to which the Reporting Persons have the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition. (c) Reference is made to the discussion in Items 3 and 4. (d) To the best knowledge of the Reporting Persons, no one other than the Reporting Persons, or the partners, members, affiliates or shareholders of the Reporting Persons, has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock reported herein as beneficially owned by the Reporting Persons. (e) Not applicable. Item6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer

of the Initial Schedule 13D is hereby amended by the addition of the following information

Item 6 of the Initial Schedule 13D is hereby amended by the addition of the following information: Vaccinex LLC and the Issuer entered into a Securities Purchase Agreement dated February 6, 2024 (the Securities Purchase Agreement ), pursuant to which Vaccinex LLC purchased 413,793 shares of Common Stock from the Issuer and 413,793 Warrants at a combined purchase price of $0.725 per share and accompanying Warrant, resulting in a total purchase price of approximately $300,000.00. The closing under the Securities Purchase Agreement occurred on February 8, 2024. The Securities Purchase Agreement contains, among other provisions, certain representations, warranties and agreements by Vaccinex LLC customarily included in agreements for the issuance and sale of securities without registration under the U.S. Securities Act of 1933, as amended (the 1933 Act ), including representations and warranties by Vaccinex LLC with respect to its status as an accredited investor within the meaning of Rule 501(a) of Regulation D under the 1933 Act, acknowledgment by Vaccinex LLC that the shares of Common Stock issued pursuant to the Securities Purchase Agreement constitute restricted securities under the 1933 Act, and agreement by Vaccinex LLC to sell the Common Stock issued pursuant to the Securities Purchase Agreement only in accordance with either the registration requirements of the 1933 Act or an exemption therefrom, and that certificates evidencing the Common Stock Purchased pursuant to the Securities Purchase Agreement will bear a legend reflecting such resale restrictions. The Issuer made certain representations and warranties to Vaccinex LLC with respect to, among other matters, its business, its authorization of the issuance of the Common Stock, the compliance in all material respects at the time of filing of the periodic reports and other documents that the Issuer has filed with the Securities and Exchange Commission ( SEC ) under the 1933 Act or the Securities Exchange Act

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 12, 2024 Maurice Zauderer By: /s/ Maurice Zauderer Name: Maurice Zauderer Vaccinex (Rochester), L.L.C. By: /s/ Maurice Zauderer Name: Maurice Zauderer Title: President 7

View Full Filing

View this SC 13D/A filing on SEC EDGAR