Filing Details
- Accession Number:
- 0001209191-21-048063
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-07-23 19:04:07
- Reporting Period:
- 2021-07-22
- Accepted Time:
- 2021-07-23 19:04:07
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1828673 | Hcw Biologics Inc. | HCWB | Pharmaceutical Preparations (2834) | 825024477 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1866258 | C Hing Wong | C/O Hcw Biologics Inc 2929 N. Commerce Parkway Miramar FL 33025 | Chief Executive Officer | Yes | Yes | No | 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 | 2021-07-22 | 6,316,691 | $0.00 | 10,602,405 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2021-07-22 | 2,954,285 | $0.00 | 13,556,690 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2021-07-22 | 1,071,428 | $0.00 | 14,628,118 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2021-07-22 | 627,500 | $8.00 | 15,255,618 | 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 Redeemable Preferred Stock | Disposition | 2021-07-22 | 6,316,691 | $0.00 | 6,316,691 | $0.00 |
| Common Stock | Series B Redeemable Preferred Stock | Disposition | 2021-07-22 | 2,954,285 | $0.00 | 2,954,285 | $0.00 |
| Common Stock | Series C Redeemable Preferred Stock | Disposition | 2021-07-22 | 1,071,428 | $0.00 | 1,071,428 | $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
- Represents shares received upon the conversion of shares of Series A Redeemable Convertible Preferred Stock. Includes 902,977 shares purchased jointly by Hing C. Wong and Bee Yau Huang.
- Represents shares received upon the conversion of shares of Series B Redeemable Convertible Preferred Stock. Includes 1,525,714 shares purchased jointly by Hing C. Wong and Bee Yau Huang.
- Represents shares received upon the conversion of shares of Series C Redeemable Convertible Preferred Stock. All shares were purchased jointly by Hing C. Wong and Bee Yau Huang.
- Represents shares of Common Stock purchased in connection with the Issuer's initial public offering for consideration of $8.00 per share.
- Each share of the Series A Redeemable Convertible Preferred Stock automatically converted into one share of the Issuer's Common Stock, for no additional consideration at the completion of the Issuer's initial public offering. The Redeemable Convertible Preferred Stock had no expiration date.
- Each share of the Series B Redeemable Convertible Preferred Stock automatically converted into one share of the Issuer's Common Stock, for no additional consideration at the completion of the Issuer's initial public offering. The Redeemable Convertible Preferred Stock had no expiration date.
- Each share of the Series C Redeemable Convertible Preferred Stock automatically converted into one share of the Issuer's Common Stock, for no additional consideration at the completion of the Issuer's initial public offering. The Redeemable Convertible Preferred Stock had no expiration date.
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