HOOKIPA PHARMA INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows, 22 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-04-23: Reporting owner Forbion Capital Fund II Cooperatief U.A.; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2019-04-23: Reporting owner Forbion Capital Fund II Cooperatief U.A.; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2019-04-23: Reporting owner Forbion Capital Fund II Cooperatief U.A.; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2019-04-23: Reporting owner SOFINNOVA CAPITAL VI FCPR | Sofinnova Partners SAS; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-04-23 | Forbion Capital Fund II Cooperatief U.A. 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −687,673 0 owned after | no price filed | 2019-04-25 | |
| 2019-04-23 | Forbion Capital Fund II Cooperatief U.A. 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,146,118 0 owned after | no price filed | 2019-04-25 | |
| 2019-04-23 | Forbion Capital Fund II Cooperatief U.A. 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −597,497 0 owned after | no price filed | 2019-04-25 | |
| 2019-04-23 | SOFINNOVA CAPITAL VI FCPR | Sofinnova Partners SAS 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −916,901 0 owned after | no price filed | 2019-04-25 | |
| 2019-04-23 | SOFINNOVA CAPITAL VI FCPR | Sofinnova Partners SAS 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,719,189 0 owned after | no price filed | 2019-04-25 | |
| 2019-04-23 | SOFINNOVA CAPITAL VI FCPR | Sofinnova Partners SAS 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −888,166 0 owned after | no price filed | 2019-04-25 | |
| 2019-04-23 | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 4 | Series D Redeemable Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −85,830 0 owned after | $0.00 | 2019-04-24 | |
| 2019-04-23 | BAKER JULIAN | BAKER FELIX | BAKER BROS. ADVISORS LP | Baker Bros. Advisors (GP) LLC Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | 4 | Series C Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −324,421 0 owned after | no price filed | 2019-04-23 | |
| 2019-04-23 | BAKER JULIAN | BAKER FELIX | BAKER BROS. ADVISORS LP | Baker Bros. Advisors (GP) LLC Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | 4 | Series C Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,905,359 0 owned after | no price filed | 2019-04-23 | |
| 2019-04-23 | BAKER JULIAN | BAKER FELIX | BAKER BROS. ADVISORS LP | Baker Bros. Advisors (GP) LLC Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | 4 | Series D Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −60,194 0 owned after | no price filed | 2019-04-23 | |
| 2019-04-23 | BAKER JULIAN | BAKER FELIX | BAKER BROS. ADVISORS LP | Baker Bros. Advisors (GP) LLC Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | Other (Former 10% owner) | 4 | Series D Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −529,758 0 owned after | no price filed | 2019-04-23 | |
| 2019-04-18 holding as of filing | BAKER JULIAN | BAKER FELIX | Baker Bros. Advisors (GP) LLC | BAKER BROS. ADVISORS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-04-18 | ||
| 2019-04-18 holding as of filing | BAKER JULIAN | BAKER FELIX | Baker Bros. Advisors (GP) LLC | BAKER BROS. ADVISORS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-04-18 | ||
| 2019-04-18 holding as of filing | BAKER JULIAN | BAKER FELIX | Baker Bros. Advisors (GP) LLC | BAKER BROS. ADVISORS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-04-18 | ||
| 2019-04-18 holding as of filing | BAKER JULIAN | BAKER FELIX | Baker Bros. Advisors (GP) LLC | BAKER BROS. ADVISORS LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-04-18 | ||
| 2019-04-17 holding as of filing | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 3 | Series D Redeemable Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-04-17 | ||
| 2019-04-17 holding as of filing | SOFINNOVA CAPITAL VI FCPR | Sofinnova Partners SAS 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2019-04-17 | ||
| 2019-04-17 holding as of filing | SOFINNOVA CAPITAL VI FCPR | Sofinnova Partners SAS 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2019-04-17 | ||
| 2019-04-17 holding as of filing | SOFINNOVA CAPITAL VI FCPR | Sofinnova Partners SAS 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2019-04-17 | ||
| 2019-04-17 holding as of filing | Forbion Capital Fund II Cooperatief U.A. 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-04-17 | ||
| 2019-04-17 holding as of filing | Forbion Capital Fund II Cooperatief U.A. 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-04-17 | ||
| 2019-04-17 holding as of filing | Forbion Capital Fund II Cooperatief U.A. 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-04-17 |