Filing Details
- Accession Number:
- 0001104659-20-137408
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-18 16:04:16
- Reporting Period:
- 2020-12-16
- Accepted Time:
- 2020-12-18 16:04:16
- 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 |
|---|---|---|---|---|---|---|---|
| 1768208 | Igor Matushansky | C/O Hookipa Pharma Inc. 350 Fifth Avenue, 72Nd Floor, Suite 7240 New York NY 10118 | Chief Medical Officer | No | 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 | 2020-12-16 | 640 | $0.10 | 56,774 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-16 | 380 | $11.70 | 56,394 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-12-17 | 19,360 | $0.10 | 75,754 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-17 | 11,501 | $11.70 | 64,253 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-12-17 | 29,628 | $0.10 | 93,881 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-17 | 16,478 | $11.76 | 77,403 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2020-12-16 | 640 | $0.00 | 640 | $0.10 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-17 | 31,656 | $0.00 | 31,656 | $0.10 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-17 | 11,367 | $0.00 | 11,367 | $0.10 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-17 | 5,965 | $0.00 | 5,965 | $0.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 39,735 | 2026-12-31 | No | 4 | M | Direct | |
| 8,079 | 2026-12-31 | No | 4 | M | Direct | |
| 14,208 | 2026-12-31 | No | 4 | M | Direct | |
| 7,669 | 2026-12-31 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were in connection with the satisfaction of tax obligations and the shares retained upon exercise remain subject to a lockup agreement which expires on March 8, 2021.
- 25% of this option vested and became exercisable on March 1, 2018, with the remainder vesting in 12 equal quarterly installments thereafter. This option was initially for 129,212 shares and the Reporting Person has exercised his option to purchase 121,133 shares.
- 25% of this option vested and became exercisable on January 1, 2019, with the remainder vesting in 12 equal quarterly installments thereafter. This option was initially for 45,466 shares and the Reporting Person has exercised his option to purchase 31,258 shares.
- 25% of this option vested and became exercisable on January 1, 2020, with the remainder vesting in 12 equal quarterly installments thereafter. This option was initially for 13,634 shares and the Reporting Person has exercised his option to purchase 5,965 shares.
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