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HOOK HOOKIPA Pharma Inc

0.90
0.001 (0.11%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
HOOKIPA Pharma Inc NASDAQ:HOOK NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.001 0.11% 0.90 0.90 0.93 0.933357 0.89 0.89 427,693 00:32:47

Statement of Changes in Beneficial Ownership (4)

23/12/2019 1:31pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Matushansky Igor
2. Issuer Name and Ticker or Trading Symbol

HOOKIPA Pharma Inc. [ HOOK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Medical Officer
(Last)          (First)          (Middle)

C/O HOOKIPA PHARMA INC., 350 FIFTH AVENUE, 72ND FLOOR, SUITE 7240
3. Date of Earliest Transaction (MM/DD/YYYY)

12/19/2019
(Street)

NEW YORK, NY 10118
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/19/2019  M  6000 A$0.10 49411 D  
Common Stock 12/19/2019  M  19891 A$0.10 69302 D  
Common Stock 12/19/2019  S  10404 D$9.93 58898 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) $0.10 12/19/2019  M   6000     (1)12/31/2026 Common Stock 6000 $0.10 40375 D  
Stock Option (Right to Buy) $0.10 12/19/2019  M   19891     (2)12/31/2026 Common Stock 19891 $0.10 25575 D  

Explanation of Responses:
(1) 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 88,837 shares.
(2) 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 19,891 shares.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Matushansky Igor
C/O HOOKIPA PHARMA INC.
350 FIFTH AVENUE, 72ND FLOOR, SUITE 7240
NEW YORK, NY 10118


Chief Medical Officer

Signatures
/s/ Reinhard Kandera, as Attorney-in-Fact12/23/2019
**Signature of Reporting PersonDate

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