Filing Details
- Accession Number:
- 0001104659-19-023694
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-04-25 16:15:27
- Reporting Period:
- 2019-04-23
- Accepted Time:
- 2019-04-25 16:15:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1760542 | Hookipa Pharma Inc. | HOOK | () | XX |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1441261 | Fcpr Vi Capital Sofinnova | C/O Hookipa Pharma Inc. 350 Fifth Avenue, 72Nd Floor, Suite 7240 New York NY 10118 | No | No | Yes | No | |
| 1574139 | Sas Partners Sofinnova | C/O Hookipa Pharma Inc. 350 Fifth Avenue, 72Nd Floor, Suite 7240 New York NY 10118 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-04-23 | 916,901 | $0.00 | 999,357 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2019-04-23 | 1,719,189 | $0.00 | 2,718,546 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2019-04-23 | 888,166 | $0.00 | 3,606,712 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2019-04-23 | 357,142 | $14.00 | 3,963,854 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2019-04-23 | 916,901 | $0.00 | 916,901 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2019-04-23 | 1,719,189 | $0.00 | 1,719,189 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2019-04-23 | 888,166 | $0.00 | 888,166 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- The preferred stock automatically converted into the Issuer's common stock on a one-for-one basis at the closing of the Issuer's initial public offering held on April 23, 2019 without payment or further consideration and had no expiration date.
- Sofinnova Partners SAS is the managing company of Sofinnova Capital VI FCPR and disclaims beneficial ownership of these shares except to the extent of its pecuniary interest therein, if any.
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