Zauderer Amends Vaccinex Stake Filing

TL;DR

Zauderer filed an update on his Vaccinex stake, date changed to 9/20/24.

AI Summary

Maurice Zauderer, through Vaccinex, Inc., filed an amendment (No. 5) to their Schedule 13D on September 20, 2024, regarding their holdings in VACCINEX, INC. The filing indicates a change in the date as of which the information is reported to September 20, 2024. Zauderer is listed as the person authorized to receive notices and communications.

Why It Matters

This filing updates the public record on significant ownership changes or intentions related to Vaccinex, Inc., which can influence investor decisions and market perception.

Risk Assessment

Risk Level: low — This is a routine amendment to a Schedule 13D filing, typically for updating information rather than signaling a major new event.

Key Players & Entities

• Maurice Zauderer (person) — Filing person and authorized contact
• Vaccinex, Inc. (company) — Subject company and filing entity
• VACCINEX, INC. (company) — Issuer of securities

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, Par Value $0.0001 per share (Title of Class of Securiti
• $5.636 — e warrants were exercised at a price of $5.636 per share, resulting in an approximate
• $640,531 — an approximate aggregate price paid of $640,531. Vaccinex LLC used working capital to f
• $0.1250 — ) of the Issuer at a purchase price of $0.1250 per warrant. The New Warrants are immed
• $21,309 — for the New Warrants was approximately $21,309. Vaccinex LLC used working capital in c
• $32 — of the Prior Warrants was adjusted from $32.76, $14.00 and $7.64 to $5.636. In conn
• $14.00 — rior Warrants was adjusted from $32.76, $14.00 and $7.64 to $5.636. In connection with
• $7.64 — ts was adjusted from $32.76, $14.00 and $7.64 to $5.636. In connection with the Warra
• $661,840 — e of the New Warrants was approximately $661,840. The closing under the Warrant Induceme

Filing Documents

• d868772dsc13da.htm (SC 13D/A) — 67KB
• 0001193125-24-222970.txt ( ) — 68KB

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 September 18, 2024, Vaccinex LLC exercised warrants, as listed in the table below, for an aggregate of 113,650 shares of Common Stock (the Warrants ) of the Issuer. The warrants were exercised at a price of $5.636 per share, resulting in an approximate aggregate price paid of $640,531. Vaccinex LLC used working capital to fund the exercise. Date of Exercise Original Purchase Date Warrant Amount Amount Paid 09/18/2024 10/3/2023 35,715 $ 201,290 09/18/2024 11/2/2023 9,768 $ 55,052 09/18/2024 2/8/2024 29,557 $ 166,583 09/18/2024 3/28/2024 38,610 $ 217,606 Total: 113,650 $ 640,531 On September 18, 2024 and in connection with the exercise of the Warrants, Vaccinex LLC purchased warrants exercisable for the purchase of 170,475 shares of Common Stock (the New Warrants ) of the Issuer at a purchase price of $0.1250 per warrant. The New Warrants are immediately exercisable at an exercise price of $5.636 per share and will expire five years from the date of issuance. The aggregate amount paid by Vaccinex LLC for the New Warrants was approximately $21,309. 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 Warrant Inducement Agreement dated September 17, 2024 (the Warrant Inducement Agreement ), pursuant to which Vaccinex LLC exercised warrants (the Prior Warrants ) for an aggregate of 113,650 shares at an exercise price of $5.636 per share, resulting in an approximate aggregate exercise price of $640,531. Pursuant to the Warrant Inducement Agreement, the exercise price of each of the Prior Warrants was adjusted from $32.76, $14.00 and $7.64 to $5.636. In connection with the Warrant Inducement Agreement, the Issuer offered for purchase new warrants to purchase up to a number of shares of Common Stock equal to 150% of the number of shares underlying the Prior Warrants. Vaccinex LLC purchased New Warrants for 170,475 shares of Common Stock at a purchase price of $0.1250 per warrant, resulting in a New Warrant purchase price of approximately $21,309. The New Warrants are immediately exercisable at an exercise price of $5.636 per share and will expire five years from the date of issuance. The total consideration paid by Vaccinex LLC in connection with the exercise of the Prior Warrants and the purchase of the New Warrants was approximately $661,840. The closing under the Warrant Inducement Agreement occurred on September 18, 2024. For additional information regarding the Warrant Inducement Agreement, see Item 6. 4 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 statements filed by the Company, may be limited by their status as affiliates of the Issuer.

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 Warrant Inducement Agreement dated September 17, 2024 (the Warrant Inducement Agreement ), pursuant to which Vaccinex LLC exercised warrants for an aggregate of 113,650 shares of Common Stock and purchased 170,475 New Warrants from the Issuer at a purchase price of $0.1250 per share underlying the Warrant, resulting in a total amount paid of approximately $661,840. The closing under the Warrant Inducement Agreement occurred on September 18, 2024. The Warrant Inducement 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 Warrant Inducement Agreement constitute restricted securities under the 1933 Act, and agreement by Vaccinex LLC to sell the Common Stock issued pursuant to the Warrant Inducement 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 Warrant Inducement 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

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: September 20, 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

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