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Filing Details

Accession Number:: 0001104659-21-099613
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-08-03 18:24:29
Reporting Period:: 2021-08-02

Accepted Time:: 2021-08-03 18:24:29
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1786255	Icosavax Inc.	ICVX	()	DE

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1193586	Adams Street Partners Llc	One North Wacker Drive Suite 2700 Chicago IL 60606		No	No	No	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-08-02	948,188	$0.00	948,188	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	47,981	$15.00	996,169	No	4	P	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	916,558	$0.00	916,558	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	46,381	$15.00	962,939	No	4	P	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	272,131	$0.00	272,131	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	352,037	$0.00	352,037	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	525,729	$0.00	525,729	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	26,604	$15.00	552,333	No	4	P	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	244,415	$0.00	244,415	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2021-08-02	12,368	$15.00	256,783	No	4	P	Indirect	See footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnotes
No	4	P	Indirect	See footnotes
No	4	C	Indirect	See footnotes
No	4	P	Indirect	See footnotes
No	4	C	Indirect	See footnotes
No	4	C	Indirect	See footnotes
No	4	C	Indirect	See footnotes
No	4	P	Indirect	See footnotes
No	4	C	Indirect	See footnotes
No	4	P	Indirect	See footnotes

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-1 Preferred Stock	Disposition	2021-08-02	3,631,066	$0.00	873,755	$0.00
Common Stock	Series A-1 Preferred Stock	Disposition	2021-08-02	3,509,939	$0.00	844,608	$0.00
Common Stock	Series A-1 Preferred Stock	Disposition	2021-08-02	1,042,120	$0.00	250,768	$0.00
Common Stock	Series A-1 Preferred Stock	Disposition	2021-08-02	1,348,119	$0.00	324,402	$0.00
Common Stock	Series A-1 Preferred Stock	Disposition	2021-08-02	2,013,269	$0.00	484,459	$0.00
Common Stock	Series A-1 Preferred Stock	Disposition	2021-08-02	935,985	$0.00	225,229	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2021-08-02	309,321	$0.00	74,432	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2021-08-02	299,003	$0.00	71,950	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2021-08-02	88,775	$0.00	21,362	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2021-08-02	114,843	$0.00	27,635	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2021-08-02	171,505	$0.00	41,269	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2021-08-02	79,734	$0.00	19,186	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.
The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").
The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").
The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").
The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").
The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").
The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").
Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.
Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.
ASVG VI acquired additional shares in the Issuer's initial public offering.
AS GE VII acquired additional shares in the Issuer's initial public offering.
AS 2018 acquired additional shares in the Issuer's initial public offering.
AS 2019 acquired additional shares in the Issuer's initial public offering.