Form S-1
VACCINEX, INC. filed this Form S-1 on 07/09/2018
Document Outline
Entire Document (6780.7 KB)
Subdocument 1 - S-1 - S-1
Page 1 - As filed with the Securities and Exchange Commission on July 9, 2018.
Page 2 - CALCULATION OF REGISTRATION FEE
Page 3 - PRELIMINARY PROSPECTUS
Page 4 - TABLE OF CONTENTS
Page 5 - PROSPECTUS SUMMARY
Page 6 - Vaccinex Product Pipeline
Page 7 - Other Product Candidates
Page 8 - VX25
Page 9 - Emerging Growth Company
Page 10 - The Offering
Page 11 - N/A
Page 12 - Summary Consolidated Financial Data
Page 13 - N/A
Page 14 - N/A
Page 15 - RISK FACTORS
Page 16 - We will require additional capital to finance our operations, which may not be available to us on ac
Page 17 - Our ability to continue as a going concern will require us to obtain additional financing to fund ou
Page 18 - Risks Related to Our Business and Industry
Page 19 - If we experience delays in clinical testing, we will be delayed in obtaining approval of our product
Page 20 - We may not successfully identify, develop or commercialize potential product candidates.
Page 21 - We may be required to suspend, repeat or terminate our clinical trials if they are not conducted in
Page 22 - We are subject to multiple manufacturing risks, any of which could substantially increase our costs
Page 23 - Even if our product candidates receive regulatory approval, they may still face future development a
Page 24 - One of the indications we are pursuing for our lead product candidate VX15 is for the treatment of H
Page 25 - Our failure to obtain regulatory approval in international jurisdictions would prevent us from marke
Page 26 - Our competitors may develop and market products or services that are less expensive, more effective,
Page 27 - We may not be able to achieve the benefits or synergistic effects of VX15 in combination with other
Page 28 - We do not currently have any sales, marketing or distribution experience or infrastructure and may r
Page 29 - Current and future legislation may increase the difficulty and cost for commercialization of our pro
Page 30 - If we are able to successfully commercialize any of our product candidates and if we participate in
Page 31 - Our relationships with customers and third-party payors will be subject to applicable anti-kickback,
Page 32 - Our employees may engage in misconduct or other improper activities, including noncompliance with re
Page 33 - We depend on key personnel for our continued operations and future success and a loss of certain key
Page 34 - We depend on third-party manufacturers for the manufacture of drug substance and drug product for cl
Page 35 - Collaborations may require us to relinquish important rights to and control over the development of
Page 36 - N/A
Page 37 - We may not be able to protect our intellectual property rights throughout the world.
Page 38 - Changes in patent law and legal precedent concerning patents could diminish the value of patents in
Page 39 - Obtaining and maintaining our patent rights depends on compliance with various different procedural,
Page 40 - Third parties may initiate legal proceedings against us alleging that we infringe their intellectual
Page 41 - Our inability to protect our confidential information and trade secrets would harm our business and
Page 42 - The market price of our stock may be volatile, and you could lose all or part of your investment.
Page 43 - If securities or industry analysts do not publish research or publish inaccurate or unfavorable rese
Page 44 - We are an emerging growth company as defined in the JOBS Act and will be able to avail ourselves of
Page 45 - We will incur significant increased costs as a result of operating as a public company, and our mana
Page 46 - We may be subject to securities litigation, which is expensive and could divert management attention
Page 47 - SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS
Page 48 - IMPLICATIONS OF BEING AN EMERGING GROWTH COMPANY
Page 49 - USE OF PROCEEDS
Page 50 - N/A
Page 51 - DIVIDEND POLICY
Page 52 - CAPITALIZATION
Page 53 - N/A
Page 54 - DILUTION
Page 55 - N/A
Page 56 - N/A
Page 57 - SELECTED CONSOLIDATED FINANCIAL DATA
Page 58 - N/A
Page 59 - MANAGEMENT S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION
Page 60 - Financial Overview
Page 61 - General and Administrative. Our general and administrative expenses consist primarily of compensatio
Page 62 - Interest Expense
Page 63 - Operating Expenses
Page 64 - Comparison of the Years Ended December 31, 2016 and 2017
Page 65 - Interest Expense
Page 66 - Cash Flows
Page 67 - Investing Activities. Cash used in investing activities during the years ended December 31, 2016 and
Page 68 - Convertible Promissory Notes
Page 69 - Contractual Obligations
Page 70 - Foreign Currency Risk
Page 71 - Stock-Based Compensation
Page 72 - Common Stock Valuations
Page 73 - Income Taxes and Net Operating Loss Carryforwards
Page 74 - Derivative Liabilities
Page 75 - Recent Accounting Pronouncements Not Yet Adopted
Page 76 - BUSINESS
Page 77 - Vaccinex Product Pipeline
Page 78 - Huntington s Disease
Page 79 - N/A
Page 80 - Background on the Immune System and Antibodies
Page 81 - Our SEMA4D Antibody Platform
Page 82 - Collaboration and IST Agreements
Page 83 - Emory
Page 84 - Figure 1. SEMA4D Expression Concentrated at Tumor Growing Edge
Page 85 - Figure 3. Anti-SEMA4D Antibody Increases Cytotoxic T Cells in Tumor
Page 86 - Figure 5. SEMA4D Gradient at Invasive Tumor Margin Regulates Migration and
Page 87 - Figure 6. Anti-SEMA4D Treatment Shifts the Balance of Cytokines and Chemokines in the Tumor Microenv
Page 88 - Figure 7A. Combination Treatment with Anti-CTLA-4 and Anti-SEMA4D in a Colorectal Tumor
Page 89 - Current Approaches to Cancer Treatment
Page 90 - Our Approach to a Combination Therapy in Cancer
Page 91 - Figure 8. Treatment of PLXNB1 and ErbB-2 Double Positive Mammary Carcinoma with Anti-SEMA4D Delays T
Page 92 - Completed Phase 1 Clinical Trials
Page 93 - Ongoing and Planned Phase 1b/2 Clinical Trials
Page 94 - VX15 in Huntington s Disease
Page 95 - Figure 10. VX15 Promotes Migration of Oligodendrocyte Precursor Cells
Page 96 - Current Approaches to the Treatment of Huntington s Disease
Page 97 - Our Approach to Huntington s Disease
Page 98 - Figure 12. VX15 Treatment Significantly Inhibits Cortical and Corpus Callosum Degeneration in Brains
Page 99 - Figure 13. VX15 May Improve Spatial Memory in the YAC128 Mouse Model
Page 100 - Figure 14. MRI: Mean Change from Baseline in Regions of Frontal and Parietal Cortex
Page 101 - Figure 15. FDG-PET: Mean Change from Baseline in Regions of Frontal and Parietal Cortex
Page 102 - Our Approach to Antibody Discovery
Page 103 - Discovery Collaborations with Third Parties
Page 104 - Catalent Pharma Solutions
Page 105 - BVX20 for Multiple Sclerosis
Page 106 - Intellectual Property
Page 107 - SEMA4D Antibody Platform and VX15
Page 108 - ActivMAb Antibody Discovery Platform
Page 109 - ActivMAb Platform Patents. Three patent families covering the ActivMAb platform are wholly owned by
Page 110 - Patent Protection
Page 111 - Trade Secret Protection
Page 112 - Preclinical Testing. Before testing any compound in human subjects, a sponsor must develop extensive
Page 113 - The BLA Process
Page 114 - N/A
Page 115 - Postmarketing Commitments. The FDA may require, or companies may pursue, additional clinical trials
Page 116 - Advertising and Promotion. The FDA and other federal and state agencies regulate the labeling, marke
Page 117 - N/A
Page 118 - Federal and State Fraud and Abuse and Data Privacy and Security Laws and Regulations
Page 119 - Healthcare Reform
Page 120 - N/A
Page 121 - Regulation Outside of the United States
Page 122 - N/A
Page 123 - VX3
Page 124 - N/A
Page 125 - MANAGEMENT
Page 126 - Alan L. Crane has served as a member of our board of directors since March 2003. Since February 2002
Page 127 - Bala S. Manian, Ph.D. has served as a member of our board of directors since December 2004. Dr. Mani
Page 128 - Raymond E. Watkins has served as our Senior Vice President and Chief Operating Officer since January
Page 129 - Independence of the Board of Directors and Board Committees
Page 130 - Role of the Board in Risk Oversight
Page 131 - Audit Committee
Page 132 - Code of Business Conduct and Ethics
Page 133 - EXECUTIVE AND DIRECTOR COMPENSATION
Page 134 - Other Benefits
Page 135 - Stock Options. The 2018 Plan will authorize our compensation committee to grant incentive stock opti
Page 136 - Performance Awards. The 2018 Plan will permit the grant of performance-based stock and cash awards.
Page 137 - Amendment; Termination. Our compensation committee may amend or terminate the 2018 Plan at any time;
Page 138 - Share Reserve. As of March 31, 2018, stock options to purchase a total of 2,013,450 shares of our co
Page 139 - Director Compensation
Page 140 - Limitation of Liability and Indemnification Agreements
Page 141 - N/A
Page 142 - CERTAIN RELATIONSHIPS AND RELATED PERSON TRANSACTIONS
Page 143 - Series D Redeemable Convertible Preferred Stock Financing
Page 144 - Other Transactions
Page 145 - PRINCIPAL STOCKHOLDERS
Page 146 - N/A
Page 147 - DESCRIPTION OF CAPITAL STOCK
Page 148 - Fully Paid and Nonassessable
Page 149 - Incidental Registration Rights
Page 150 - Section 203 of the Delaware General Corporation Law
Page 151 - Transfer Agent and Registrar
Page 152 - SHARES ELIGIBLE FOR FUTURE SALE
Page 153 - Rule 701
Page 154 - MATERIAL U.S. FEDERAL INCOME AND ESTATE TAX CONSEQUENCES TO NON-U.S. HOLDERS
Page 155 - Distributions
Page 156 - Information Reporting Requirements and Backup Withholding
Page 157 - N/A
Page 158 - UNDERWRITING
Page 159 - N/A
Page 160 - Electronic Delivery of Preliminary Prospectus
Page 161 - N/A
Page 162 - France
Page 163 - Sweden
Page 164 - N/A
Page 165 - LEGAL MATTERS
Page 166 - VACCINEX, INC.
Page 167 - REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Page 168 - VACCINEX, INC.
Page 169 - VACCINEX, INC.
Page 170 - VACCINEX, INC.
Page 171 - VACCINEX, INC.
Page 172 - VACCINEX, INC.
Page 173 - VACCINEX, INC.
Page 174 - VACCINEX, INC.
Page 175 - VACCINEX, INC.
Page 176 - VACCINEX, INC.
Page 177 - VACCINEX, INC.
Page 178 - VACCINEX, INC.
Page 179 - VACCINEX, INC.
Page 180 - VACCINEX, INC.
Page 181 - VACCINEX, INC.
Page 182 - VACCINEX, INC.
Page 183 - VACCINEX, INC.
Page 184 - VACCINEX, INC.
Page 185 - VACCINEX, INC.
Page 186 - VACCINEX, INC.
Page 187 - VACCINEX, INC.
Page 188 - VACCINEX, INC.
Page 189 - VACCINEX, INC.
Page 190 - VACCINEX, INC.
Page 191 - VACCINEX, INC.
Page 192 - VACCINEX, INC.
Page 193 - VACCINEX, INC.
Page 194 - VACCINEX, INC.
Page 195 - VACCINEX, INC.
Page 196 - VACCINEX, INC.
Page 197 - VACCINEX, INC.
Page 198 - VACCINEX, INC.
Page 199 - VACCINEX, INC.
Page 200 - VACCINEX, INC.
Page 201 - VACCINEX, INC.
Page 202 - VACCINEX, INC.
Page 203 - Shares
Page 204 - PART II
Page 205 - Item 15. Recent Sales of Unregistered Securities.
Page 206 - Convertible Promissory Note Financings
Page 207 - Item 17. Undertakings.
Page 208 - INDEX TO EXHIBITS
Page 209 - N/A
Page 210 - SIGNATURES
Page 211 - N/A
Subdocument 2 - EX-3.1 - EX-3.1
Page 1 - Exhibit 3.1
Page 2 - EXHIBIT A
Page 3 - 2.3 Dissolution, Liquidation, Winding Up
Page 4 - ARTICLE V: AMENDMENT OF BYLAWS
Page 5 - 6. Board Vacancies. Subject to the rights of the holders of any series of Preferred Stock, any vacan
Page 6 - 4. Advance Notice of Stockholder Nominations and Business Transacted at Special Meetings. Advance no
Page 7 - N/A
Subdocument 3 - EX-3.2 - EX-3.2
Page 1 - Exhibit 3.2
Page 2 - VACCINEX, INC.
Page 3 - N/A
Page 4 - VACCINEX, INC.
Page 5 - Section 2.5. Adjournments. The chairperson of the meeting, or, in the absence of such person, by any
Page 6 - Section 2.9. Fixing Date for Determination of Stockholders of Record.
Page 7 - Section 2.12. Conduct of Meetings. The date and time of the opening and the closing of the polls for
Page 8 - Exchange Act ), including such person s written consent to being named in the proxy statement as a n
Page 9 - Solicitation Notice ), (dd) a description of any agreement, arrangement or understanding with respec
Page 10 - Public Announcement shall mean disclosure in a press release reported by the Dow Jones News Service,
Page 11 - ARTICLE III BOARD OF DIRECTORS
Page 12 - Section 3.6. Remote Meetings Permitted. Members of the Board, or any committee of the Board, may par
Page 13 - Section 4.2. Committee Rules. Unless the Board otherwise provides, each committee designated by the
Page 14 - Section 5.6. Chief Financial Officer. The Chief Financial Officer shall be the Treasurer of the Corp
Page 15 - Section 6.3. Other Regulations. The issue, transfer, conversion and registration of stock certificat
Page 16 - Section 7.6. Other Indemnification and Advancement of Expenses. This Article VII shall not limit the
Page 17 - Section 8.2. Waiver of Notice. Whenever notice is required to be given under any provision of the DG
Page 18 - Section 10.2. By the Stockholders. Except as otherwise set forth in these Bylaws, these Bylaws may b
Subdocument 4 - EX-3.3 - EX-3.3
Page 1 - Exhibit 3.3
Page 2 - ARTICLE 4
Page 3 - Series A Convertible Preferred Stock. Five million seven hundred two thousand four hundred and fifty
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Page 13 - ARTICLE 6
Page 14 - ARTICLE 8
Page 15 - ARTICLE 10
Page 16 - N/A
Subdocument 5 - EX-3.4 - EX-3.4
Page 1 - Exhibit 3.4
Page 2 - N/A
Subdocument 6 - EX-3.5 - EX-3.5
Page 1 - Exhibit 3.5
Page 2 - N/A
Subdocument 7 - EX-3.6 - EX-3.6
Page 1 - Exhibit 3.6
Page 2 - N/A
Subdocument 8 - EX-3.7 - EX-3.7
Page 1 - Exhibit 3.7
Page 2 - N/A
Subdocument 9 - EX-3.8 - EX-3.8
Page 1 - Exhibit 3.8
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Subdocument 10 - EX-3.9 - EX-3.9
Page 1 - Exhibit 3.9
Page 2 - N/A
Subdocument 11 - EX-3.10 - EX-3.10
Page 1 - Exhibit 3.10
Page 2 - N/A
Subdocument 12 - EX-3.11 - EX-3.11
Page 1 - Exhibit 3.11
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Subdocument 13 - EX-3.12 - EX-3.12
Page 1 - Exhibit 3.12
Page 2 - N/A
Subdocument 14 - EX-3.13 - EX-3.13
Page 1 - Exhibit 3.13
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Page 13 - N/A
Subdocument 15 - EX-3.14 - EX-3.14
Page 1 - Exhibit 3.14
Page 2 - N/A
Subdocument 16 - EX-3.15 - EX-3.15
Page 1 - Exhibit 3.15
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Subdocument 17 - EX-3.16 - EX-3.16
Page 1 - Exhibit 3.16
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Subdocument 18 - EX-3.17 - EX-3.17
Page 1 - Exhibit 3.17
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Subdocument 19 - EX-4.1 - EX-4.1
Page 1 - Exhibit 4.1
Page 2 - N/A
Subdocument 20 - EX-10.1 - EX-10.1
Page 1 - Exhibit 10.1
Page 2 - Company Securities means without limitation, Common Stock, Series A Preferred Stock, Series B Prefer
Page 3 - Majority Preferred Stock Holders means at any time the holders of a majority of the Series A Registr
Page 4 - Qualified Public Offering means an underwritten offering by the Company of its Common Stock to the p
Page 5 - S-1 Registration has the meaning specified in Section 2.1(a) of this Agreement.
Page 6 - Subscription Agreement means any subscription agreement executed and delivered to the Company by an
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - Incidental Registrations.
Page 11 - SECTION 2.3 Registration Expenses. The Company shall pay all Registration Expenses incurred in conne
Page 12 - SECTION 2.5 Jurisdictional Limitations. Notwithstanding anything in this Agreement to the contrary,
Page 13 - N/A
Page 14 - N/A
Page 15 - N/A
Page 16 - ARTICLE IV
Page 17 - Holdback Agreements.
Page 18 - N/A
Page 19 - SECTION 5.2 Contribution. If the indemnification provided for in Section 5.1 is unavailable or insuf
Page 20 - ARTICLE VI
Page 21 - SECTION 6.2 Other Registration Rights. The Company represents and warrants that it has not granted a
Page 22 - ARTICLE VII
Page 23 - ARTICLE VIII
Page 24 - ARTICLE IX
Page 25 - ARTICLE X
Page 26 - Notices. All demands, notices, requests, consents and other communications required or permitted und
Page 27 - SECTION 10.7 Equitable Remedies. The parties hereto agree that irreparable harm would occur in the e
Page 28 - SECTION 10.9 Alternative Dispute Resolution. Any controversy, dispute or claim arising out of or in
Page 29 - N/A
Page 30 - N/A
Page 31 - Schedule A
Page 32 - Schedule A
Page 33 - Series B Investor Signature Page
Page 34 - Series B Investor Signature Page
Page 35 - Series B Investor Signature Page
Page 36 - Series B Investor Signature Page
Page 37 - Series B Investor Signature Page
Page 38 - Series A Holder Signature Page
Page 39 - Series A Holder Signature Page
Page 40 - Founder Signature Page
Page 41 - Founder Signature Page
Page 42 - Common Stockholder Signature Page
Subdocument 21 - EX-10.2 - EX-10.2
Page 1 - Exhibit 10.2
Page 2 - TABLE OF CONTENTS
Page 3 - N/A
Page 4 - SECTION 1
Page 5 - 1933 Act means the Securities Act of 1933, as amended.
Page 6 - SECTION 4
Page 7 - SECTION 8
Page 8 - SECTION 10
Page 9 - SECTION 11
Page 10 - SECTION 12
Page 11 - SECTION 13
Page 12 - SECTION 16
Page 13 - N/A
Page 14 - [Delaware]. The headings in this Plan are for convenience of reference purposes only. All references
Subdocument 22 - EX-10.3 - EX-10.3
Page 1 - Exhibit 10.3
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Subdocument 23 - EX-10.4 - EX-10.4
Page 1 - Exhibit 10.4
Page 2 - TABLE OF CONTENTS
Page 3 - N/A
Page 4 - SECTION 1
Page 5 - N/A
Page 6 - N/A
Page 7 - SECTION 3
Page 8 - SECTION 4
Page 9 - SECTION 6
Page 10 - SECTION 8
Page 11 - SECTION 9
Page 12 - SECTION 11
Page 13 - SECTION 12
Page 14 - SECTION 13
Page 15 - SECTION 16
Page 16 - N/A
Page 17 - SECTION 17
Page 18 - N/A
Page 19 - N/A
Page 20 - N/A
Subdocument 24 - EX-10.5 - EX-10.5
Page 1 - Exhibit 10.5
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Subdocument 25 - EX-10.9 - EX-10.9
Page 1 - Exhibit 10.9
Page 2 - N/A
Page 3 - N/A
Page 4 - SEVERANCE PAY PLAN
Page 5 - ARTICLE II
Page 6 - ERISA means the Employee Retirement Income Security Act of 1974, as amended (including the correspon
Page 7 - Plan Administrator means the Committee or any person, committee, corporation, or organization design
Page 8 - ARTICLE III
Page 9 - ARTICLE IV
Page 10 - Committee Responsibilities.
Page 11 - Claims Procedure.
Page 12 - Allocation of Fiduciary Responsibilities and Employment of Advisors.
Page 13 - ARTICLE V
Page 14 - ARTICLE VI
Page 15 - Termination or Amendment.
Page 16 - Plan Year.
Page 17 - Exhibit A
Subdocument 26 - EX-10.11 - EX-10.11
Page 1 - Exhibit 10.11
Page 2 - Certificate of Incorporation ), the Bylaws, vote of its stockholders or Disinterested Directors (as
Page 3 - N/A
Page 4 - Independent Counsel as defined in Section 12 hereof, and the objection shall set forth with particul
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - Corporate Status means the status of a person who is or was a director (including, without limitatio
Page 9 - Independent Counsel means a law firm, or a member of a law firm, that is experienced in matters of c
Page 10 - N/A
Page 11 - N/A
Page 12 - SIGNATURE PAGE TO INDEMNIFICATION AGREEMENT
Subdocument 27 - EX-10.12 - EX-10.12
Page 1 - Exhibit 10.12
Page 2 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 3 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 4 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 5 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 6 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 7 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 8 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 9 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 10 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 11 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 12 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 13 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 14 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 15 - [***] INDICATES ONE PAGE OF MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUE
Subdocument 28 - EX-10.13 - EX-10.13
Page 1 - Exhibit 10.13
Page 2 - Agreement has the meaning set forth in the introductory paragraph, and includes all its Attachments
Page 3 - Drug Substance means Expression Product that has been purified and refined in compliance with the ap
Page 4 - Production Cell Line means a cell line created primarily for the purpose of producing the Expression
Page 5 - Vaccinex Intellectual Property means all Intellectual Property and embodiments thereof owned by or l
Page 6 - SOPs ) used by Catalent in performing Services under any particular SOW shall be in compliance with
Page 7 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 8 - Batch Record ) and any other batch documentation required to be provided by the Quality Agreement fo
Page 9 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 10 - ARTICLE 4
Page 11 - Development Batch until manufacturing, testing and storage methods and processes have been validated
Page 12 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 13 - QC Hold Waiver ), Vaccinex shall be fully responsible for the cost of all Services performed after t
Page 14 - ARTICLE 7
Page 15 - Research License ). The [***] of such Research License shall be at [***] to Vaccinex, and thereafter
Page 16 - ARTICLE 8
Page 17 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 18 - ARTICLE 9
Page 19 - ARTICLE 10
Page 20 - ARTICLE 12
Page 21 - ARTICLE 13
Page 22 - ARTICLE 14
Page 23 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 24 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 25 - IN WITNESS WHEREOF, the parties have caused their respective duly authorized representatives to exec
Page 26 - ATTACHMENT A
Page 27 - ATTACHMENT B
Page 28 - Catalent ) and Vaccinex Inc. ( Customer ) for any contract pharmaceutical manufacturing requested by
Page 29 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 30 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 31 - RESPONSIBILITY DELEGATION CHECKLIST
Page 32 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 33 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 34 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 35 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 36 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Subdocument 29 - EX-10.14 - EX-10.14
Page 1 - Exhibit 10.14
Page 2 - 1.3 Agreement has the meaning set forth in the introductory paragraph, and includes all its Attachme
Page 3 - 1.16 Net Sales means, for the measured period, the gross amounts invoiced by Client or its permitted
Page 4 - Project Documents has the meaning set forth in Recital B.
Page 5 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 6 - ARTICLE 3
Page 7 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 8 - ARTICLE 4
Page 9 - ARTICLE 5
Page 10 - ARTICLE 6
Page 11 - ARTICLE 7
Page 12 - ARTICLE 9
Page 13 - ARTICLE 10
Page 14 - ARTICLE 11
Page 15 - 11.9 Governing Law. This Agreement shall be governed by and construed under the laws of the State of
Page 16 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 17 - IN WITNESS WHEREOF, the parties have caused their respective duly authorized representatives to exec
Page 18 - ATTACHMENT A: EXPRESSION PRODUCTS
Subdocument 30 - EX-10.15 - EX-10.15
Page 1 - Exhibit 10.15
Page 2 - AND WHEREAS pursuant to the Prior Agreement, Vaccinex and the limited partners of VX LP had certain
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - IN WITNESS WHEREOF the Parties have executed this Amended and Restated Exchange Agreement as of the
Page 10 - IN WITNESS WHEREOF the Parties have executed this Amended and Restated Exchange Agreement as of the
Page 11 - IN WITNESS WHEREOF the Parties have executed this Amended and Restated Exchange Agreement as of the
Page 12 - IN WITNESS WHEREOF the Parties have executed this Amended and Restated Exchange Agreement as of the
Page 13 - SCHEDULE A
Page 14 - EXCHANGE NOTICE
Subdocument 31 - EX-10.16 - EX-10.16
Page 1 - Exhibit 10.16
Page 2 - 1.3 Applicable Law means all international, federal, state, local, national and regional statutes, l
Page 3 - 1.9 Clinical Data means all data (including raw data) and results generated under the Study which ar
Page 4 - Delivery has the meaning set forth in Section 8.3.1 with respect to Merck Compound.
Page 5 - HIPAA has the meaning set forth in the definition of Applicable Law.
Page 6 - Joint Patent means a patent that issues from a Joint Patent Application.
Page 7 - 1.54 Non-Conformance means, with respect to a given unit of Compound, an event that deviates from an
Page 8 - 1.67 Safety Data Exchange Agreement means that certain pharmacovigilance agreement regarding the Com
Page 9 - Third Party means any person or entity other than Vaccinex, Merck or their respective Affiliates.
Page 10 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 11 - Study Completion shall be deemed to occur upon lock of the Study database in accordance with the Pro
Page 12 - Joint Combination Study Committee or JCSC ), made up of an equal number of representatives of Merck
Page 13 - Team Leader ) who shall be responsible for implementing and coordinating activities, and facilitatin
Page 14 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 15 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 16 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 17 - 6.8 [The provisions of this Section 6.8 and Sections 3.6 (other than the first, fourth and sixth sen
Page 18 - 6.12 All costs associated with a termination of this Agreement, including costs related to the wind-
Page 19 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 20 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 21 - Disposition Package ). Vaccinex shall, within the time defined in the Clinical Quality Agreements, p
Page 22 - Non-Conformance Event ), then unless otherwise agreed to by the Parties, Merck shall replace such Me
Page 23 - Threshold ). Vaccinex shall pay Merck the Manufacturing Costs per vial of any replaced Merck Compoun
Page 24 - Payer ) to another Party (the Payee ) pursuant to this Agreement ( Payments ) shall not be reduced o
Page 25 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 26 - Jointly Owned Invention ) shall be owned jointly by Vaccinex and Merck. For those countries where a
Page 27 - Joint Patent Application ), using patent counsel selected by the Lead Prosecuting Party and reasonab
Page 28 - Vaccinex Compound Inventions ), are the sole and exclusive property of Vaccinex. Vaccinex shall be e
Page 29 - Merck Compound Inventions ) are the sole and exclusive property of Merck. Merck shall be entitled to
Page 30 - First Press Release ).
Page 31 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 32 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 33 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 34 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 35 - Claims ) to the extent arising out of this Agreement or the Study (a Vaccinex Liability ), except to
Page 36 - Force Majeure ). The nonperforming Party will notify the other Party of such Force Majeure within te
Page 37 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 38 - 21.1 The Parties shall attempt in good faith to settle all disputes arising out of or in connection
Page 39 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 40 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 41 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 42 - Appendix A
Page 43 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 44 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 45 - Appendix B
Page 46 - [***] INDICATES MATERIAL THAT WAS OMITTED AND FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED. ALL SU
Page 47 - Appendix C
Subdocument 32 - EX-10.17 - EX-10.17
Page 1 - Exhibit 10.17
Page 2 - TABLE OF CONTENTS
Page 3 - N/A
Page 4 - LICENSE AGREEMENT
Page 5 - Capital Contributions means, as of a particular date, the aggregate of all capital contributed to Tr
Page 6 - Laboratory Notebooks means all research documentation owned by Transferor or any Affiliate and in th
Page 7 - Net Profit means, with respect to Licensed Product sold in the Territory for use in the Field, the N
Page 8 - Regulatory Approval means any and all approvals (including pricing and reimbursement approvals), pro
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - Developments ), in either case shall be owned, as between Transferor and Transferee, by Transferor a
Page 13 - Clinical Trial Results Notice ). In the event that the primary endpoint of the Clinical Trial is not
Page 14 - ARTICLE 4
Page 15 - N/A
Page 16 - ARTICLE 5
Page 17 - ARTICLE 6
Page 18 - ARTICLE 8
Page 19 - ARTICLE 9
Page 20 - N/A
Page 21 - ARTICLE 10
Page 22 - ARTICLE 11
Page 23 - ARTICLE 13
Page 24 - N/A
Page 25 - N/A
Page 26 - IN WITNESS WHEREOF, intending to be legally bound, the Parties have caused this License Agreement to
Subdocument 33 - EX-10.18 - EX-10.18
Page 1 - Exhibit 10.18
Page 2 - Contents
Page 3 - SERVICES AGREEMENT
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Page 13 - N/A
Page 14 - IN WITNESS WHEREOF, and intending to be legally bound, the parties hereto have caused this Services
Page 15 - SCHEDULE A
Page 16 - SCHEDULE B
Page 17 - SCHEDULE C
Subdocument 34 - EX-10.19 - EX-10.19
Page 1 - Exhibit 10.19
Page 2 - N/A
Subdocument 35 - EX-10.20 - EX-10.20
Page 1 - Exhibit 10.20
Page 2 - N/A
Subdocument 36 - EX-10.21 - EX-10.21
Page 1 - Exhibit 10.21
Page 2 - N/A
Subdocument 37 - EX-10.22 - EX-10.22
Page 1 - Exhibit 10.22
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - Exhibit A
Page 6 - EXECUTION VERSION
Page 7 - Exchange Right means the right of the Investors, FCMI and Vaccinex hereunder to initiate an Exchange
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 13 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 14 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 15 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 16 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 17 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 18 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 19 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 20 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Page 21 - IN WITNESS WHEREOF the Parties have executed this VX3 Exchange Agreement as of the date first above
Subdocument 38 - EX-21.1 - EX-21.1
Page 1 - N/A
Subdocument 39 - EX-23.1 - EX-23.1
Page 1 - N/A