Zauderer Amends VaccinEx Stake Filing

TL;DR

Zauderer updated his VaccinEx stake filing on 11/14/24.

AI Summary

Maurice Zauderer, filing an amendment (No. 6) to Schedule 13D on November 14, 2024, reported changes in beneficial ownership of VaccinEx, Inc. common stock. Zauderer, associated with Vaccinex, Inc. at 1895 Mount Hope Ave, Rochester, NY, is the authorized person to receive notices regarding this filing.

Why It Matters

This filing indicates a potential shift in control or significant influence over VaccinEx, Inc. by Maurice Zauderer, requiring disclosure to the market.

Risk Assessment

Risk Level: medium — Schedule 13D filings often signal significant changes in beneficial ownership, which can impact stock price and corporate control.

Key Numbers

• Amendment No. 6 — Filing Amendment (Indicates this is a subsequent update to the original filing.)
• November 14, 2024 — Filing Date (The date of the event requiring this filing.)

Key Players & Entities

• Maurice Zauderer (person) — Filing person and authorized contact
• VaccinEx, Inc. (company) — Subject company
• 1895 Mount Hope Ave, Rochester, New York (location) — Business and mailing address for VaccinEx, Inc. and contact

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, Par Value $0.0001 per share (Title of Class of Securiti
• $3.25 — ck of the Issuer at a purchase price of $3.25 per share, in a private placement pursu
• $150,000.00 — a total purchase price of approximately $150,000.00. In the Securities Purchase Agreement,
• $0.125 — accinex LLC to purchase, for a price of $0.125 per Warrant and otherwise on substantia

Filing Documents

• d827878dsc13da.htm (SC 13D/A) — 60KB
• 0001193125-24-260927.txt ( ) — 61KB

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 November 14, 2024, Vaccinex LLC purchased 46,153 shares of Common Stock of the Issuer at a purchase price of $3.25 per share, in a private placement pursuant to a securities purchase agreement entered into with the Issuer on November 13, 2024, in Rochester, New York (the Private Placement ). 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 November 13, 2024 (the Securities Purchase Agreement ), pursuant to which Vaccinex LLC purchased 46,153 shares of Common Stock from the Issuer at a purchase price of $3.25 per share, resulting in a total purchase price of approximately $150,000.00. In the Securities Purchase Agreement, the Issuer states that it intends to use the net proceeds from the sale of the Common Stock for working capital and other general corporate purposes. Vaccinex LLC acquired the Common Stock 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 statements filed by the Company, may be limited by their status as affiliates of the Issuer. 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 respect thereto. All of the other securities reported herein were acquired for inv

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 November 13, 2024 (the Securities Purchase Agreement ), pursuant to which Vaccinex LLC purchased 46,153 shares of Common Stock from the Issuer at a purchase price of $3.25 per share, resulting in a total purchase price of approximately $150,000.00. The closing under the Securities Purchase Agreement occurred on November 14, 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 of 1934, as amended (the Exchange Act ), as applicable,

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: November 18, 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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