0001104659-20-137408.txt : 20201218 0001104659-20-137408.hdr.sgml : 20201218 20201218160416 ACCESSION NUMBER: 0001104659-20-137408 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201216 FILED AS OF DATE: 20201218 DATE AS OF CHANGE: 20201218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Matushansky Igor CENTRAL INDEX KEY: 0001768208 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38869 FILM NUMBER: 201400632 MAIL ADDRESS: STREET 1: C/O HOOKIPA PHARMA INC. STREET 2: 430 EAST 29TH STREET CITY: NEW YORK STATE: NY ZIP: 10016 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOOKIPA Pharma Inc. CENTRAL INDEX KEY: 0001760542 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 815395687 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 430 EAST 29TH STREET STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 0114318906360 MAIL ADDRESS: STREET 1: 430 EAST 29TH STREET STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 4 1 tm2038926d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-12-16 0 0001760542 HOOKIPA Pharma Inc. HOOK 0001768208 Matushansky Igor C/O HOOKIPA PHARMA INC. 350 FIFTH AVENUE, 72ND FLOOR, SUITE 7240 NEW YORK NY 10118 0 1 0 0 Chief Medical Officer Common Stock 2020-12-16 4 M 0 640 0.10 A 56774 D Common Stock 2020-12-16 4 S 0 380 11.70 D 56394 D Common Stock 2020-12-17 4 M 0 19360 0.10 A 75754 D Common Stock 2020-12-17 4 S 0 11501 11.70 D 64253 D Common Stock 2020-12-17 4 M 0 29628 0.10 A 93881 D Common Stock 2020-12-17 4 S 0 16478 11.76 D 77403 D Stock Option (Right to Buy) 0.10 2020-12-16 4 M 0 640 0 D 2026-12-31 Common Stock 640 39735 D Stock Option (Right to Buy) 0.10 2020-12-17 4 M 0 31656 0 D 2026-12-31 Common Stock 31656 8079 D Stock Option (Right to Buy) 0.10 2020-12-17 4 M 0 11367 0 D 2026-12-31 Common Stock 11367 14208 D Stock Option (Right to Buy) 0.10 2020-12-17 4 M 0 5965 0 D 2026-12-31 Common Stock 5965 7669 D 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. /s/ Reinhard Kandera, as Attorney-in-Fact 2020-12-18