Filing Details
- Accession Number:
- 0000899243-21-031642
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-04 18:20:14
- Reporting Period:
- 2021-08-02
- Accepted Time:
- 2021-08-04 18:20:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1786255 | Icosavax Inc. | ICVX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1677759 | Jonathan Nicholson | C/O Nanodimension Iii Management Ltd Governor'S Sq Unit 3-213-6, 23 Lime Tree Grand Cayman KY1-1302 | No | No | No | Yes | |
| 1874912 | Nanodimension Iii, L.p. | Governor'S Square, Unit 3-213-6 23 Lime Tree Bay Ave Grand Cayman E9 KY1-1302 | No | No | No | Yes | |
| 1875023 | Ltd Management Iii Nanodimension | Governor'S Square, Unit 3-213-6 23 Lime Tree Bay Ave Grand Cayman KY1-1302 | No | No | No | Yes | |
| 1875135 | Partnership Limited Gp Iii Nanodimension | Governor'S Square, Unit 3-213-6 23 Lime Tree Bay Ave Grand Cayman KY1-1302 | No | No | No | Yes |
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 | 2021-08-02 | 2,749,995 | $0.00 | 2,749,995 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2021-08-02 | 133,334 | $15.00 | 2,883,329 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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-1 Preferred Stock | Disposition | 2021-08-02 | 10,400,415 | $0.00 | 2,502,686 | $0.00 |
| Common Stock | Series B-1 Preferred Stock | Disposition | 2021-08-02 | 1,027,741 | $0.00 | 247,308 | $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 |
Footnotes
- Includes an additional share 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.
- 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.
- NanoDimension III GP Limited Partnership ("ND III GP") is the general partner of NanoDimension III, L.P. ("ND III LP"). NanoDimension III Management Limited ("ND Management") is the general partner of ND III GP, and possesses the power to direct the voting and disposition of the shares owned by ND III LP and may be deemed to have indirect beneficial ownership of the shares held by ND III LP. Jonathan Nicholson and Richard Coles are the members of the board of directors of ND Management and share voting and dispositive power over the shares held by ND III LP. Each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of his or its respective pecuniary interest therein.
- ND III LP acquired additional shares in the Issuer's initial public offering.
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