Heron Patrick J's Form 4 filing
HilleVax, Inc. (HLVX) · filed May 3, 2022
- Accession no.
- 0000899243-22-016310
- Filed
- May 3, 2022, 4:23 PM ET
- Trade date
- May 3, 2022
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $30.0M. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Heron Patrick JCIK 0001365617 | Director, 10% Owner |
| Topper James NCIK 0001341382 | 10% Owner |
| FHMLS X, L.L.C.CIK 0001790811 | 10% Owner |
| Frazier Life Sciences X, L.P.CIK 0001790879 | 10% Owner |
| FHMLS X, L.P.CIK 0001790880 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 3, 2022 | Common Stock | CConversionAcquired | +2,736,234 | $13.60 | +$37,212,782.4 | 6,770,631 | Direct | |
| May 3, 2022 | Common Stock | PPurchaseAcquired | +1,764,706 | $17.00 | +$30,000,002 | 8,535,337 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 3, 2022 | Common Stock | CConversionDisposed | −2,736,234 | –F2 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock immediately prior to the closing of the initial public offering at a conversion price of $13.60 per share.
Referenced by the price of 1 transaction in Table II.