0000950170-24-014066.txt : 20240212 0000950170-24-014066.hdr.sgml : 20240212 20240212195108 ACCESSION NUMBER: 0000950170-24-014066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240208 FILED AS OF DATE: 20240212 DATE AS OF CHANGE: 20240212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maltbie Shane CENTRAL INDEX KEY: 0001786301 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41365 FILM NUMBER: 24622141 MAIL ADDRESS: STREET 1: C/O AXCELLA HEALTH INC. STREET 2: 840 MEMORIAL DRIVE CITY: CAMBRIDGE STATE: MA ZIP: 02139 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HilleVax, Inc. CENTRAL INDEX KEY: 0001888012 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 321 HARRISON AVE, SUITE 500 CITY: BOSTON STATE: MA ZIP: 02118 BUSINESS PHONE: (617) 213-5054 MAIL ADDRESS: STREET 1: 321 HARRISON AVE, SUITE 500 CITY: BOSTON STATE: MA ZIP: 02118 4 1 ownership.xml 4 X0508 4 2024-02-08 0001888012 HilleVax, Inc. HLVX 0001786301 Maltbie Shane C/O HILLEVAX, INC., 321 HARRISON AVE, SUITE 500 BOSTON MA 02118 false true false false Chief Financial Officer false Common Stock 2024-02-08 4 S false 3576 14.9315 D 40656 D Common Stock 2024-02-08 4 A false 47522 0.00 A 88178 D Stock Option (Right to Buy) 15.06 2024-02-08 4 A false 61894 0.00 A 2034-02-07 Common Stock 61894 61894 D Represents shares sold to satisfy tax withholding obligations upon the settlement of restricted stock units ("RSUs"), which sale was mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. The price reported in Column 4 is a weighted average price calculated by the broker executing the sell-to-cover transactions. These shares were sold as part of a block trade in multiple transactions, and the Reporting Person undertakes to provide to 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 sales price. Represents RSUs which will vest as to 25% of the total number of RSUs granted on each of the first four anniversaries of February 8, 2024, subject to the reporting person's continuous service to the Issuer on the applicable vesting dates. Each RSU represents a contingent right to receive one share of common stock of the Issuer and the RSUs have no expiration date. The option is exercisable as it vests. The option will vest with respect to 25% of the shares of common stock on February 8, 2025 and will vest with respect to the remaining shares in equal monthly installments over the following three years subject to the reporting person's continuous service to the Issuer on the applicable vesting dates. /s/ Paul Bavier, Attorney-in-Fact for Shane Maltbie 2024-02-12