Igor Matushansky - 21 Dec 2021 Form 4 Insider Report for HOOKIPA Pharma Inc. (HOOK)

Role
Chief Medical Officer
Signature
/s/ Reinhard Kandera, as Attorney-in-Fact
Issuer symbol
HOOK
Transactions as of
21 Dec 2021
Net transactions value
-$34,938
Form type
4
Filing time
12 Jan 2022, 09:07:10 UTC
Next filing
01 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HOOK Common Stock Options Exercise $808 +8,079 +10% $0.1000* 85,482 21 Dec 2021 Direct
transaction HOOK Common Stock Sale $13,207 -5,304 -6.2% $2.49 80,178 21 Dec 2021 Direct F1
transaction HOOK Common Stock Options Exercise $1,137 +11,366 +14% $0.1000* 91,544 21 Dec 2021 Direct
transaction HOOK Common Stock Sale $18,526 -7,440 -8.1% $2.49 84,104 21 Dec 2021 Direct F1
transaction HOOK Common Stock Options Exercise $341 +3,408 +4.1% $0.1000* 87,512 21 Dec 2021 Direct
transaction HOOK Common Stock Sale $5,490 -2,205 -2.5% $2.49 85,307 21 Dec 2021 Direct F1

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
transaction HOOK Stock Option (Right to Buy) Options Exercise $0 -8,079 -100% $0.000000* 0 21 Dec 2021 Common Stock 8,079 $0.1000 Direct F2
transaction HOOK Stock Option (Right to Buy) Options Exercise $0 -11,366 -80% $0.000000 2,842 21 Dec 2021 Common Stock 11,366 $0.1000 Direct F3
transaction HOOK Stock Option (Right to Buy) Options Exercise $0 -3,408 -44% $0.000000 4,261 21 Dec 2021 Common Stock 3,408 $0.1000 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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 129,212 shares.
F3 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 42,624 shares.
F4 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 9,373 shares.