Adams Street Partners LLC's Form 4 filing
Icosavax, Inc. (ICVX) · filed Aug 3, 2021
- Accession no.
- 0001104659-21-099613
- Filed
- Aug 3, 2021
- Trade date
- Aug 2, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 12 derivative transactions. Open-market purchases total $2.00M. It was filed 1 day after the trade.
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 |
|---|---|
| Adams Street Partners LLCCIK 0001193586 | Other: Former 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Common Stock | CConversionAcquired | +948,188 | $0.00F1 | $0 | 948,188 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | PPurchaseAcquired | +47,981 | $15.00 | +$719,715 | 996,169 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionAcquired | +916,558 | $0.00F1 | $0 | 916,558 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | PPurchaseAcquired | +46,381 | $15.00 | +$695,715 | 962,939 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionAcquired | +272,131 | $0.00F1 | $0 | 272,131 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionAcquired | +352,037 | $0.00F1 | $0 | 352,037 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionAcquired | +525,729 | $0.00F1 | $0 | 525,729 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | PPurchaseAcquired | +26,604 | $15.00 | +$399,060 | 552,333 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionAcquired | +244,415 | $0.00F1 | $0 | 244,415 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | PPurchaseAcquired | +12,368 | $15.00 | +$185,520 | 256,783 | Indirect | Duplicate filing |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Common Stock | CConversionDisposed | −873,755 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −844,608 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −250,768 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −324,402 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −484,459 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −225,229 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −74,432 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −71,950 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −21,362 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −27,635 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −41,269 | –F1 | – | 0 | Indirect | Duplicate filing |
| Aug 2, 2021 | Common Stock | CConversionDisposed | −19,186 | –F1 | – | 0 | Indirect | Duplicate filing |
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.
- F1
On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.
Referenced by the price of 6 transactions in Table I and 12 transactions in Table II.