Gould Terry P 4

Accession 0000899243-21-031369

CIK 0001786255other

View on SEC.gov Company Profile

Filed

Aug 2, 8:00 PM ET

Accepted

Aug 3, 6:56 PM ET

Size

52.3 KB

Accession

0000899243-21-031369

Insider Transaction Report

Form 4

Period: 2021-08-02

Icosavax, Inc.ICVX

Gould Terry P

Director10% Owner

Transactions

Conversion
Common Stock
2021-08-02+272,131→ 272,131 total(indirect: See footnotes)
Conversion
Common Stock
2021-08-02+352,037→ 352,037 total(indirect: See footnotes)
Purchase
Common Stock
2021-08-02$15.00/sh+26,604$399,060→ 552,333 total(indirect: See footnotes)
Purchase
Common Stock
2021-08-02$15.00/sh+12,368$185,520→ 256,783 total(indirect: See footnotes)
Conversion
Common Stock
2021-08-02+948,188→ 948,188 total(indirect: See footnotes)
Purchase
Common Stock
2021-08-02$15.00/sh+46,381$695,715→ 962,939 total(indirect: See footnotes)
Conversion
Common Stock
2021-08-02+525,729→ 525,729 total(indirect: See footnotes)
Conversion
Common Stock
2021-08-02+244,415→ 244,415 total(indirect: See footnotes)
Conversion
Series A-1 Preferred Stock
2021-08-02−3,631,066→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (873,755 underlying)
Conversion
Series A-1 Preferred Stock
2021-08-02−3,509,939→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (844,608 underlying)
Conversion
Series B-1 Preferred Stock
2021-08-02−114,843→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (27,635 underlying)
Purchase
Common Stock
2021-08-02$15.00/sh+47,981$719,715→ 996,169 total(indirect: See footnotes)
Conversion
Series A-1 Preferred Stock
2021-08-02−1,042,120→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (250,768 underlying)
Conversion
Series A-1 Preferred Stock
2021-08-02−1,348,119→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (324,402 underlying)
Conversion
Series A-1 Preferred Stock
2021-08-02−2,013,269→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (484,459 underlying)
Conversion
Series A-1 Preferred Stock
2021-08-02−935,985→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (225,229 underlying)
Conversion
Series B-1 Preferred Stock
2021-08-02−309,321→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (74,432 underlying)
Conversion
Series B-1 Preferred Stock
2021-08-02−299,003→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (71,950 underlying)
Conversion
Series B-1 Preferred Stock
2021-08-02−88,775→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (21,362 underlying)
Conversion
Series B-1 Preferred Stock
2021-08-02−171,505→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (41,269 underlying)
Conversion
Series B-1 Preferred Stock
2021-08-02−79,734→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common Stock (19,186 underlying)
Conversion
Common Stock
2021-08-02+916,558→ 916,558 total(indirect: See footnotes)

Footnotes (13)

[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.
[F10]ASVG VI acquired additional shares in the Issuer's initial public offering.
[F11]AS GE VII acquired additional shares in the Issuer's initial public offering.
[F12]AS 2018 acquired additional shares in the Issuer's initial public offering.
[F13]AS 2019 acquired additional shares in the Issuer's initial public offering.
[F2]The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").
[F3]The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").
[F4]The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").
[F5]The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").
[F6]The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").
[F7]The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").
[F8]Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.
[F9]Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Icosavax, Inc.

CIK 0001786255

→

Entity typeother

Related Parties

filerCIK 0001553470

Filing Metadata

Form type: 4
Filed: Aug 2, 8:00 PM ET
Accepted: Aug 3, 6:56 PM ET
Size: 52.3 KB

View on SEC.gov