Filing Details
- Accession Number:
- 0001209191-23-059625
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-22 18:27:38
- Reporting Period:
- 2023-12-20
- Accepted Time:
- 2023-12-22 18:27:38
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1786255 | Icosavax Inc. | ICVX | Biological Products, (No Disgnostic Substances) (2836) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1873839 | K. Adam Simpson | C/O Icosavax, Inc. 1930 Boren Ave., Suite 1000 Seattle WA 98101 | 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 | Disposition | 2023-12-20 | 62,205 | $15.46 | 184,724 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-12-21 | 102,574 | $1.04 | 287,298 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-12-21 | 40,000 | $2.47 | 327,298 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-12-21 | 23,343 | $0.84 | 350,641 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-21 | 50,000 | $15.44 | 300,641 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-12-21 | 40,000 | $15.43 | 260,641 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-12-21 | 102,574 | $0.00 | 102,574 | $1.04 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-12-21 | 40,000 | $0.00 | 40,000 | $2.47 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-12-21 | 23,343 | $0.00 | 23,343 | $0.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 314,676 | 2031-01-28 | No | 4 | M | Direct | |
| 237,146 | 2032-11-09 | No | 4 | M | Direct | |
| 4,789 | 2030-05-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 531,576 | Indirect | By family trust |
| Common Stock | 129,032 | Indirect | By family trust |
| Common Stock | 129,032 | Indirect | By family trust |
Footnotes
- Reflects shares sold to cover withholding taxes upon accelerated vesting of restricted stock unit awards pursuant to a Rule10b5-1 instruction letter dated December 6, 2021.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.41 to $15.50. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The sales were effected pursuant to a Rule 10b5-1 instruction letter dated December 6, 2021.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.39 to $15.60. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.40 to $15.495. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- 25% of the shares subject to the option vested on January 14, 2022, and 1/48th of the shares subject to the option vest monthly thereafter.
- One-third (1/3rd) of the shares subject to the option shall vest on each of the first three anniversaries of November 10, 2022, subject to the reporting person's continued service through the applicable vesting date.
- 25% of the shares subject to the option vested on February 21, 2021, and 1/48th of the shares subject to the option vest monthly thereafter.
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