ICOSAVAX, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 70 rows, 70 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-08-02: Reporting owner NanoDimension III, L.P. | NanoDimension III GP Limited Partnership | Nicholson Jonathan | NanoDimension III Management Ltd; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2021-08-02: Reporting owner NanoDimension III, L.P. | NanoDimension III GP Limited Partnership | Nicholson Jonathan | NanoDimension III Management Ltd; Form 4; Security Series B-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2021-08-02: Reporting owner Shah Rajeev M. | RA CAPITAL MANAGEMENT, L.P. | RA Capital Healthcare Fund LP | RA Capital Nexus Fund II, L.P. | Kolchinsky Peter; Form 4; Security Series B-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2021-08-02: Reporting owner Shah Rajeev M. | RA CAPITAL MANAGEMENT, L.P. | RA Capital Healthcare Fund LP | RA Capital Nexus Fund II, L.P. | Kolchinsky Peter; Form 4; Security Series B-1 Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-08-02 | NanoDimension III, L.P. | NanoDimension III GP Limited Partnership | Nicholson Jonathan | NanoDimension III Management Ltd Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −10,400,415 0 owned after | no price filed | 2021-08-04 | |
| 2021-08-02 | NanoDimension III, L.P. | NanoDimension III GP Limited Partnership | Nicholson Jonathan | NanoDimension III Management Ltd Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,027,741 0 owned after | no price filed | 2021-08-04 | |
| 2021-08-02 | Shah Rajeev M. | RA CAPITAL MANAGEMENT, L.P. | RA Capital Healthcare Fund LP | RA Capital Nexus Fund II, L.P. | Kolchinsky Peter Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −10,995,066 0 owned after | $0.00 | 2021-08-04 | |
| 2021-08-02 | Shah Rajeev M. | RA CAPITAL MANAGEMENT, L.P. | RA Capital Healthcare Fund LP | RA Capital Nexus Fund II, L.P. | Kolchinsky Peter Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,940,306 0 owned after | $0.00 | 2021-08-04 | |
| 2021-08-02 | Cormorant Global Healthcare Master Fund, LP | Chen Bihua | Cormorant Private Healthcare Fund III LP | Cormorant Asset Management, LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −426,393 0 owned after | no price filed | 2021-08-04 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −3,631,066 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −3,509,939 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,042,120 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,348,119 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −2,013,269 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −935,985 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −309,321 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −299,003 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −88,775 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −114,843 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −171,505 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Gould Terry P Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −79,734 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −3,631,066 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −3,509,939 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,042,120 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,348,119 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −2,013,269 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −935,985 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −309,321 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −299,003 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −88,775 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −114,843 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −171,505 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | ADAMS STREET PARTNERS LLC Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −79,734 0 owned after | no price filed | 2021-08-03 | |
| 2021-08-02 | Qiming U.S. Healthcare Fund II, L.P. | MCDADE MARK | Qiming U.S. Healthcare GP II, LLC Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −12,480,498 0 owned after | no price filed | 2021-08-02 | |
| 2021-08-02 | Qiming U.S. Healthcare Fund II, L.P. | MCDADE MARK | Qiming U.S. Healthcare GP II, LLC Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,275,817 0 owned after | no price filed | 2021-08-02 | |
| 2021-08-02 | Holtzman Douglas Officer (Chief Scientific Officer) | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Stanley Holtzman | C Conversion of derivative security | −206,323 0 owned after | no price filed | 2021-08-02 | |
| 2021-08-02 | Holtzman Douglas Officer (Chief Scientific Officer) | 4 | Series B-1 Preferred Stock Derivative · Indirect · By Stanley Holtzman | C Conversion of derivative security | −11,602 0 owned after | no price filed | 2021-08-02 | |
| 2021-08-02 | Sanofi 10% Owner | 4 | Series A-1 Preferred Stock (par value, $0.0001) Derivative · Indirect · Through its wholly-owned subsidiary, Aventis Inc | C Conversion of derivative security | −12,480,498 0 owned after | no price filed | 2021-08-02 | |
| 2021-08-02 | Sanofi 10% Owner | 4 | Series B-1 Preferred Stock (par value, $0.0001) Derivative · Indirect · Through its wholly-owned subsidiary, Aventis Inc | C Conversion of derivative security | −354,393 0 owned after | no price filed | 2021-08-02 | |
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Gould Terry P Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Holtzman Douglas Officer (Chief Scientific Officer) | 3 | Series A-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Holtzman Douglas Officer (Chief Scientific Officer) | 3 | Series B-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | NanoDimension III Management Ltd | Nicholson Jonathan | NanoDimension III, L.P. | NanoDimension III GP Limited Partnership 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | NanoDimension III Management Ltd | Nicholson Jonathan | NanoDimension III, L.P. | NanoDimension III GP Limited Partnership 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Qiming U.S. Healthcare Fund II, L.P. | Qiming U.S. Healthcare GP II, LLC | MCDADE MARK Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Qiming U.S. Healthcare Fund II, L.P. | Qiming U.S. Healthcare GP II, LLC | MCDADE MARK Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Shah Rajeev M. | Kolchinsky Peter | RA CAPITAL MANAGEMENT, L.P. | RA Capital Healthcare Fund LP | RA Capital Nexus Fund II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Shah Rajeev M. | Kolchinsky Peter | RA CAPITAL MANAGEMENT, L.P. | RA Capital Healthcare Fund LP | RA Capital Nexus Fund II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | ADAMS STREET PARTNERS LLC 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Sanofi 10% Owner | 3 | Series A-1 Preferred Stock (par value, $0.0001) Derivative · Indirect · Through its wholly-owned subsidiary, Aventis, Inc. | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Sanofi 10% Owner | 3 | Series B-1 Preferred Stock (par value, $0.0001) Derivative · Indirect · Through its wholly-owned subsidiary, Aventis, Inc. | Holding | no price filed | 2021-07-28 | ||
| 2021-07-28 holding as of filing | Cormorant Asset Management, LP | Chen Bihua | Cormorant Global Healthcare Master Fund, LP | Cormorant Private Healthcare Fund III LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2021-07-28 |