VCNX

SEC source: 0001062993-24-002770 · form4.xml · nonDerivative · entry 4

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

Vaccinex (Rochester), L.L.C. · CIK 0001747866 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vaccinex (Rochester), L.L.C.

Disclosed balance after: 1,393,392

F2 · shares: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · balance_after: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-023239 · form4.xml · nonDerivative · entry 1

Van Strydonck, Gerald E. · CIK 0001748247 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001062993-23-022436 · form4.xml · nonDerivative · entry 1

Van Strydonck, Gerald E. · CIK 0001748247 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,149

SEC source: 0001062993-23-020103 · form4.xml · derivative · entry 5

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

Vaccinex (Rochester), L.L.C. · CIK 0001747866 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vaccinex (Rochester), L.L.C.

Disclosed balance after: 136,752

Underlying: Common Stock · 136,752 shares

Expires 2028-11-02

F2 · ownership.nature: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-019700 · form4.xml · derivative · entry 28

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,291 shares

Expires 2033-09-26

F9 · price: This option was canceled by mutual agreement of the reporting person and Vaccinex, Inc. The reporting person received $8,750 as consideration for the cancellation, which represents the reporting person's retainer and meeting fees during the third quarter of 2023.

SEC source: 0001062993-23-019063 · form4.xml · nonDerivative · entry 6

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

Vaccinex (Rochester), L.L.C. · CIK 0001747866 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,116

F4 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9501 to $0.9898, inclusive. Mr. Zauderer undertakes to provide Vaccinex, Inc., any security holder of Vaccinex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001062993-23-019061 · form4.xml · derivative · entry 5

FRIEDBERG ALBERT · CIK 0001268239 · Director · 10% owner

FCMI Parent Co. · CIK 0001678258 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By FCMI Parent Co.

Disclosed balance after: 3,000,000

Underlying: Common Stock · 3,000,000 shares

Expires 2028-10-03

F3 · ownership.nature: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-019061 · form4.xml · nonDerivative · entry 4

FRIEDBERG ALBERT · CIK 0001268239 · Director · 10% owner

FCMI Parent Co. · CIK 0001678258 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By FCMI Parent Co.

Disclosed balance after: 4,747,794

F3 · balance_after: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3 · ownership.nature: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-019063 · form4.xml · derivative · entry 7

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

Vaccinex (Rochester), L.L.C. · CIK 0001747866 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vaccinex (Rochester), L.L.C.

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-10-03

F2 · ownership.nature: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-019063 · form4.xml · nonDerivative · entry 5

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

Vaccinex (Rochester), L.L.C. · CIK 0001747866 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,116

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9265 to $0.9399, inclusive. Mr. Zauderer undertakes to provide Vaccinex, Inc., any security holder of Vaccinex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001062993-23-019063 · form4.xml · nonDerivative · entry 4

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

Vaccinex (Rochester), L.L.C. · CIK 0001747866 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vaccinex (Rochester), L.L.C.

Disclosed balance after: 979,599

F2 · balance_after: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-019059 · form4.xml · derivative · entry 28

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,291

Underlying: Common Stock · 11,291 shares

Expires 2033-09-26

F10 · price: 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 third quarter of 2023. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable.

SEC source: 0001062993-23-018438 · form4.xml · nonDerivative · entry 4

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vaccinex (Rochester), L.L.C.

Disclosed balance after: 7,193,973

F2 · shares: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · balance_after: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-019059 · form4.xml · derivative · entry 27

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,414

Underlying: Common Stock · 2,414 shares

Expires 2033-06-27

F9 · price: 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 second quarter of 2023. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable.

SEC source: 0001062993-23-011230 · form4.xml · nonDerivative · entry 4

FRIEDBERG ALBERT · CIK 0001268239 · Director · 10% owner

FCMI Parent Co. · CIK 0001678258 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By FCMI Parent Co.

Disclosed balance after: 26,216,904

F3 · shares: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3 · balance_after: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3 · ownership.nature: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-011112 · form4.xml · derivative · entry 5

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,848

Underlying: Common Stock · 143,848 shares

Expires not disclosed

F5 · derivative.expiration_date: 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 8, 2033 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-23-011116 · form4.xml · derivative · entry 4

Stecyk Chrystyna Bedrij · CIK 0001811625 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,848

Underlying: Common Stock · 143,848 shares

Expires not disclosed

F4 · derivative.expiration_date: 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 8, 2033 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-23-011115 · form4.xml · derivative · entry 26

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,848

Underlying: Common Stock · 143,848 shares

Expires not disclosed

F8 · derivative.expiration_date: 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 8, 2033 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-23-011110 · form4.xml · derivative · entry 6

Yanni Barbara · CIK 0001610561 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,848

Underlying: Common Stock · 143,848 shares

Expires not disclosed

F6 · derivative.expiration_date: 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 8, 2033 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-23-011108 · form4.xml · derivative · entry 11

Van Strydonck, Gerald E. · CIK 0001748247 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,848

Underlying: Common Stock · 143,848 shares

Expires not disclosed

F6 · derivative.expiration_date: 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 8, 2033 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-23-008325 · form4.xml · derivative · entry 8

Evans Elizabeth E. · CIK 0001863447 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-03-30

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date.

SEC source: 0001062993-23-008322 · form4.xml · derivative · entry 8

Smith Ernest S. · CIK 0001747769 · SVP, Research & CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-03-30

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date.

SEC source: 0001062993-23-008324 · form4.xml · derivative · entry 25

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,107

Underlying: Common Stock · 32,107 shares

Expires 2033-03-28

F8 · price: 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 first quarter of 2023. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable.

SEC source: 0001062993-23-008323 · form4.xml · nonDerivative · entry 4

FRIEDBERG ALBERT · CIK 0001268239 · Director · 10% owner

FCMI Parent Co. · CIK 0001678258 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By FCMI Parent Co.

Disclosed balance after: 19,505,352

F3 · shares: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3 · balance_after: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3 · ownership.nature: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-008326 · form4.xml · derivative · entry 9

Leonard John E. · CIK 0001747997 · SVP, Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-03-30

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date.

SEC source: 0001062993-23-008320 · form4.xml · derivative · entry 12

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,000

Underlying: Common Stock · 56,000 shares

Expires 2028-03-30

F7 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date.

SEC source: 0001062993-23-008320 · form4.xml · nonDerivative · entry 4

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vaccinex (Rochester), L.L.C.

Disclosed balance after: 5,142,691

F2 · shares: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · balance_after: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-23-008321 · form4.xml · derivative · entry 7

Royer Scott E. · CIK 0001747756 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2033-03-30

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the March 31, 2023 grant date.

SEC source: 0001062993-23-000300 · form4.xml · derivative · entry 24

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,852

Underlying: Common Stock · 19,852 shares

Expires 2032-12-28

F8 · price: 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.

SEC source: 0001062993-22-023491 · form4.xml · nonDerivative · entry 1

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,736

SEC source: 0001062993-22-022814 · form4.xml · nonDerivative · entry 3

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gee Eff Services Limited

Disclosed balance after: 193,049

F2 · ownership.nature: Mr. Frieberg is the sole owner and President of Gee Eff Services Limited.

SEC source: 0001062993-22-022815 · form4.xml · nonDerivative · entry 4

Zauderer Maurice · CIK 0001747753 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vaccinex (Rochester), L.L.C.

Disclosed balance after: 4,410,984

F2 · shares: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · balance_after: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Dr. Zauderer is the president and a majority owner of Vaccinex (Rochester), L.L.C. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-22-022816 · form4.xml · nonDerivative · entry 4

FRIEDBERG ALBERT · CIK 0001268239 · Director · 10% owner

FCMI Parent Co. · CIK 0001678258 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By FCMI Parent Co.

Disclosed balance after: 15,359,011

F4 · shares: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F4 · balance_after: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F4 · ownership.nature: Mr. Friedberg is the majority owner, a director and the president of FCMI Parent Co. and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-22-022813 · form4.xml · nonDerivative · entry 1

Van Strydonck, Gerald E. · CIK 0001748247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,232

SEC source: 0001062993-22-020146 · form4.xml · derivative · entry 23

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,260

Underlying: Common Stock · 26,260 shares

Expires 2032-09-27

F8 · price: 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 third quarter of 2022. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable.

SEC source: 0001062993-22-015746 · form4.xml · derivative · entry 22

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,064

Underlying: Common Stock · 12,064 shares

Expires 2032-06-27

F8 · price: 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 second quarter of 2022. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable.

SEC source: 0001062993-22-012386 · form4.xml · derivative · entry 4

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,254

Underlying: Common Stock · 53,254 shares

Expires not disclosed

F4 · derivative.expiration_date: 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, 2032 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-22-012390 · form4.xml · derivative · entry 3

Stecyk Chrystyna Bedrij · CIK 0001811625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,254

Underlying: Common Stock · 53,254 shares

Expires not disclosed

F3 · derivative.expiration_date: 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, 2032 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-22-012384 · form4.xml · derivative · entry 21

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,254

Underlying: Common Stock · 53,254 shares

Expires not disclosed

F7 · derivative.expiration_date: 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, 2032 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-22-012388 · form4.xml · derivative · entry 11

Van Strydonck, Gerald E. · CIK 0001748247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,254

Underlying: Common Stock · 53,254 shares

Expires not disclosed

F5 · derivative.expiration_date: 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, 2032 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-22-012385 · form4.xml · derivative · entry 5

Yanni Barbara · CIK 0001610561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,254

Underlying: Common Stock · 53,254 shares

Expires not disclosed

F5 · derivative.expiration_date: 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, 2032 or five years following retirement or cessation of services, whichever occurs first.

SEC source: 0001062993-22-009446 · form4.xml · derivative · entry 7

Evans Elizabeth E. · CIK 0001863447 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-04-01

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date.

SEC source: 0001062993-22-009451 · form4.xml · derivative · entry 7

Smith Ernest S. · CIK 0001747769 · SVP, Research & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-04-01

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date.

SEC source: 0001062993-22-009450 · form4.xml · derivative · entry 8

Leonard John E. · CIK 0001747997 · SVP, Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2032-04-01

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date.

SEC source: 0001062993-22-009448 · form4.xml · derivative · entry 11

Zauderer Maurice · CIK 0001747753 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2032-04-01

F7 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date.

SEC source: 0001062993-22-009444 · form4.xml · derivative · entry 6

Royer Scott E. · CIK 0001747756 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2032-04-01

F5 · derivative.exercise_date: This option was granted under the Company's 2018 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-fourth on each of the first four anniversaries of the April 1, 2022 grant date.

SEC source: 0001062993-22-009441 · form4.xml · derivative · entry 20

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,032

Underlying: Common Stock · 10,032 shares

Expires 2032-03-28

F7 · price: 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 first quarter of 2022. The number of options was calculated in accordance with the Black-Scholes valuation model and all such options are immediately exercisable.

SEC source: 0001062993-22-005567 · form4.xml · nonDerivative · entry 2

Van Strydonck, Gerald E. · CIK 0001748247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001062993-22-005567 · form4.xml · nonDerivative · entry 1

Van Strydonck, Gerald E. · CIK 0001748247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001062993-22-001868 · form4.xml · nonDerivative · entry 2

Frieberg Jacob B. · CIK 0001748346 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Benbow Estates, Ltd.

Disclosed balance after: 94,510

F1 · shares: 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.

F1 · balance_after: 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.

F1 · ownership.nature: 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.