TAKEDA PHARMACEUTICAL CO LTD - 30 Nov 2022 Form 4 Insider Report for HilleVax, Inc. (HLVX)

Role
10%+ Owner
Signature
/s/ Yoshihiro Nakagawa, Global General Counsel of Takeda Pharmaceutical Company Limited
Issuer symbol
HLVX
Transactions as of
30 Nov 2022
Net transactions value
$0
Form type
4
Filing time
01 Dec 2022, 16:47:48 UTC
Previous filing
06 Jul 2022
Next filing
26 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLVX Common Stock Exercise of in-the-money or at-the-money derivative security $0 +5,883,500 +700% $0.000000 6,724,000 30 Nov 2022 See Explanation of Responses F1, F2

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 HLVX Warrant (Right to Buy) Exercise of in-the-money or at-the-money derivative security $0 -5,883,500 -100% $0.000000* 0 30 Nov 2022 Common Stock 5,883,500 $0.000100 See Explanation of Responses F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On November 30,2022, the Reporting Person exercised a Warrant to purchase 5,883,500 shares of the Issuers common stock with an exercise price of $0.0000595 per share.
F2 Takeda Pharmaceutical Company Limited has beneficial ownership of the reported securities, all of which are held directly by Takeda Vaccines, Inc., an indirect wholly-owned subsidiary of TakedaPharmaceutical Company Limited. Takeda Vaccines, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (72.70%) andTakeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.