Sanofi - Jul 28, 2021 Form 3 Insider Report for Icosavax, Inc. (ICVX)

Role
10%+ Owner
Signature
/s/ Alexander Roger, Head of Securities Law and Capital Markets
Stock symbol
ICVX
Transactions as of
Jul 28, 2021
Transactions value $
$0
Form type
3
Date filed
7/28/2021, 08:32 PM
Next filing
Aug 2, 2021

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ICVX Series A-1 Preferred Stock (par value, $0.0001) Jul 28, 2021 Common Stock 3M $0.00 Through its wholly-owned subsidiary, Aventis, Inc. F1, F2
holding ICVX Series B-1 Preferred Stock (par value, $0.0001) Jul 28, 2021 Common Stock 85.3K $0.00 Through its wholly-owned subsidiary, Aventis, Inc. F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock are convertible, at any time at the holder's election, to shares of the Issuer's Common Stock, as shown in Column 3, at a ratio of 4.1557-for-1. In addition, effective immediately prior to the closing of the Issuer's initial public offering of its Common Stock, each share of Series A-1 Preferred Stock and Series B-1 Preferred Stock will automatically convert to shares of the Issuer's Common Stock at a ratio of 4.1557-for-1 as shown in Column 3. The Series A-1 Preferred Stock and Series B-1 Preferred Stock have no expiration date.
F2 Sanofi is the beneficial owner of 3,003,224 Shares of Series A-1 Preferred Stock and 85,278 Shares of Series B-1 Preferred Stock of the Issuer through its wholly owned subsidiary, Aventis, Inc.