Filing Details
- Accession Number:
- 0001104659-19-023695
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-04-25 16:15:43
- Reporting Period:
- 2019-04-23
- Accepted Time:
- 2019-04-25 16:15:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1760542 | Hookipa Pharma Inc. | HOOK | Pharmaceutical Preparations (2834) | 815395687 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1767829 | U.a. Cooperatief Ii Fund Capital Forbion | 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 | 687,673 | $0.00 | 696,987 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2019-04-23 | 1,146,118 | $0.00 | 1,843,105 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2019-04-23 | 597,497 | $0.00 | 2,440,602 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2019-04-23 | 53,571 | $14.00 | 2,494,173 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
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 | 687,673 | $0.00 | 687,673 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2019-04-23 | 1,146,118 | $0.00 | 1,146,118 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2019-04-23 | 597,497 | $0.00 | 597,497 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
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.
- Represents securities held by Forbion Capital Fund II Cooperatief U.A. ("Forbion Coop:"). Forbion II Management B.V. ("Forbion Management") is the director of Forbion Coop and may be deemed to have voting, investment and dispositive power with respect to the shares held by Forbion Coop. Forbion Management disclaims Section 16 beneficial ownership of the shares held by Forbion Coop, except to the extent, if any, of its pecuniary interest therein.
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