Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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| Page 1 of 10 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 1)*
HOOKIPA Pharma Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
43906K 100
(CUSIP Number)
Armance Bordes
Sofinnova Partners SAS
7-11 blvd Haussmann
75009 Paris
France
+33 1 76 23 41 09
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 11, 2020
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 43906K 100 | Page 2 of 10 |
| 1. |
Name of Reporting Persons
Sofinnova Capital VI FCPR (“SC VI”) | |
| 2. |
Check the Appropriate Box if a Member of a Group (see instructions) (a) (b) |
¨ x |
| 3. | SEC USE ONLY
| |
| 4. |
Source of Funds (see instructions)
WC | |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
¨ |
| 6. |
Citizenship or Place of Organization
France | |
|
Number of
|
7. |
Sole Voting Power
3,871,216 shares of common stock, except that Sofinnova Partners SAS, a French corporation (“SP SAS”), the management company of SC VI, may be deemed to have sole voting power, and Denis Lucquin (“Lucquin”), Antoine Papiernik (“Papiernik”), Henrijette Richter (“Richter”), Monique Saulnier (“Saulnier”), and Graziano Seghezzi (“Seghezzi”), the managing partners of SP SAS, may be deemed to have shared power to vote these shares. |
| 8. |
Shared Voting Power
See row 7. | |
| 9. |
Sole Dispositive Power
3,871,216 shares of common stock, except that SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Lucquin, Papiernik, Richter, Saulnier, and Seghezzi, the managing partners of SP SAS, may be deemed to have shared power to dispose of these shares. | |
| 10. |
Shared Dispositive Power
See row 9. |
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
3,871,216 | |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
|
¨ |
| 13. |
Percent of Class Represented by Amount in Row 11
13.3%1 | |
| 14. |
Type of Reporting Person (see instructions)
00 | |
| 1 | Percentage of class is calculated based on 29,061,468 shares of common stock outstanding as of December 11, 2020, as reported in the Prospectus Supplement, dated as of December 8, 2020, filed pursuant to Rule 424(b)(5) by HOOKIPA Pharma Inc. with the SEC on December10, 2020. |
| CUSIP No. 43906K 100 | Page 3 of 10 |
| 1. |
Name of Reporting Persons
Sofinnova Partners SAS (“SP SAS”) | |
| 2. |
Check the Appropriate Box if a Member of a Group (see instructions) (a) (b) |
¨ x |
| 3. | SEC USE ONLY
| |
| 4. |
Source of Funds (see instructions)
00 | |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
¨ |
| 6. |
Citizenship or Place of Organization
France | |
|
Number of
|
7. |
Sole Voting Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Lucquin, Papiernik, Richter, Saulnier, and Seghezzi, the managing partners of SP SAS, may be deemed to have shared power to vote these shares. |
| 8. |
Shared Voting Power
See row 7. | |
| 9. |
Sole Dispositive Power
3,871,216 shares of common stock, except that SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Lucquin, Papiernik, Richter, Saulnier, and Seghezzi, the managing partners of SP SAS, may be deemed to have shared power to dispose of these shares. | |
| 10. |
Shared Dispositive Power
See row 9. |
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
3,871,216 | |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
|
¨ |
| 13. |
Percent of Class Represented by Amount in Row 11
13.3%2 | |
| 14. |
Type of Reporting Person (see instructions)
00 | |
| 2 | Percentage of class is calculated based on 29,061,468 shares of common stock outstanding as of December 11, 2020, as reported in the Prospectus Supplement, dated as of December 8, 2020, filed pursuant to Rule 424(b)(5) by HOOKIPA Pharma Inc. with the SEC on December10, 2020. |
| CUSIP No. 43906K 100 | Page 4 of 10 |
| 1. |
Name of Reporting Persons
Denis Lucquin (“Lucquin”) | |
| 2. |
Check the Appropriate Box if a Member of a Group (see instructions) (a) (b) |
¨ x |
| 3. | SEC USE ONLY
| |
| 4. |
Source of Funds (see instructions)
00 | |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
¨ |
| 6. |
Citizenship or Place of Organization
French Citizen | |
|
Number of
|
7. |
Sole Voting Power
0 |
|
8. |
Shared Voting Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Lucquin, a managing partner of SP SAS, may be deemed to have shared power to vote these shares. | |
|
9. |
Sole Dispositive Power
0 | |
|
10. |
Shared Dispositive Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Lucquin, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares. |
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
3,871,216 | |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
|
¨ |
| 13. |
Percent of Class Represented by Amount in Row 11
13.3%3 | |
| 14. |
Type of Reporting Person (see instructions)
IN | |
| 3 | Percentage of class is calculated based on 29,061,468 shares of common stock outstanding as of December 11, 2020, as reported in the Prospectus Supplement, dated as of December 8, 2020, filed pursuant to Rule 424(b)(5) by HOOKIPA Pharma Inc. with the SEC on December10, 2020. |
| CUSIP No. 43906K 100 | Page 5 of 10 |
| 1. |
Name of Reporting Persons
Antoine Papiernik (“Papiernik”) | |
| 2. |
Check the Appropriate Box if a Member of a Group (see instructions) (a) (b) |
¨ x |
| 3. | SEC USE ONLY
| |
| 4. |
Source of Funds (see instructions)
00 | |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
¨ |
| 6. |
Citizenship or Place of Organization
French Citizen | |
|
Number of
|
7. |
Sole Voting Power
0 |
| 8. |
Shared Voting Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Papiernik, a managing partner of SP SAS, may be deemed to have shared power to vote these shares. | |
| 9. |
Sole Dispositive Power
0 | |
| 10. |
Shared Dispositive Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Papiernik, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares. |
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
3,871,216 | |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
|
¨ |
| 13. |
Percent of Class Represented by Amount in Row 11
13.3%4 | |
| 14. | Type of Reporting Person (see instructions)
IN | |
| 4 | Percentage of class is calculated based on 29,061,468 shares of common stock outstanding as of December 11, 2020, as reported in the Prospectus Supplement, dated as of December 8, 2020, filed pursuant to Rule 424(b)(5) by HOOKIPA Pharma Inc. with the SEC on December10, 2020. |
| CUSIP No. 43906K 100 | Page 6 of 10 |
| 1. |
Name of Reporting Persons
Henrijette Richter (“Richter”) | |
| 2. |
Check the Appropriate Box if a Member of a Group (see instructions) (a) (b) |
¨ x |
| 3. | SEC USE ONLY
| |
| 4. |
Source of Funds (see instructions)
00 | |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
¨ |
| 6. |
Citizenship or Place of Organization
Danish Citizen | |
|
Number of
|
7. |
Sole Voting Power
0 |
|
8. |
Shared Voting Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Richter, a managing partner of SP SAS, may be deemed to have shared power to vote these shares. | |
|
9. |
Sole Dispositive Power
0 | |
|
10. |
Shared Dispositive Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Richter, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares. |
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
3,871,216 | |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
|
¨ |
| 13. |
Percent of Class Represented by Amount in Row 11
13.3%5 | |
| 14. |
Type of Reporting Person (see instructions)
IN | |
| 5 | Percentage of class is calculated based on 29,061,468 shares of common stock outstanding as of December 11, 2020, as reported in the Prospectus Supplement, dated as of December 8, 2020, filed pursuant to Rule 424(b)(5) by HOOKIPA Pharma Inc. with the SEC on December10, 2020. |
&# xA0;
| CUSIP No. 43906K 100 | Page 7 of 10 |
| 1. |
Name of Reporting Persons
Monique Saulnier (“Saulnier”) | |
| 2. |
Check the Appropriate Box if a Member of a Group (see instructions) (a) (b) |
¨ x |
| 3. | SEC USE ONLY
| |
| 4. |
Source of Funds (see instructions)
00 | |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
¨ |
| 6. |
Citizenship or Place of Organization
French Citizen | |
|
Number of
|
7. |
Sole Voting Power
0 |
|
8. |
Shared Voting Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Saulnier, a managing partner of SP SAS, may be deemed to have shared power to vote these shares. | |
|
9. |
Sole Dispositive Power
0 | |
|
10. |
Shared Dispositive Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Saulnier, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares. |
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
3,871,216 | |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
|
¨ |
| 13. |
Percent of Class Represented by Amount in Row 11
13.3%6 | |
| 14. |
Type of Reporting Person (see instructions)
IN | |
| 6 | Percentage of class is calculated based on 29,061,468 shares of common stock outstanding as of December 11, 2020, as reported in the Prospectus Supplement, dated as of December 8, 2020, filed pursuant to Rule 424(b)(5) by HOOKIPA Pharma Inc. with the SEC on December10, 2020. |
| CUSIP No. 43906K 100 | Page 8 of 10 |
| 1. |
Name of Reporting Persons
Graziano Seghezzi (“Seghezzi”) | |
| 2. |
Check the Appropriate Box if a Member of a Group (see instructions) (a) (b) |
¨ x |
| 3. | SEC USE ONLY
| |
| 4. |
Source of Funds (see instructions)
00 | |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
|
¨ |
| 6. |
Citizenship or Place of Organization
Italian Citizen | |
|
Number of
|
7. |
Sole Voting Power
0 |
|
8. |
Shared Voting Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Seghezzi, a managing partner of SP SAS, may be deemed to have shared power to vote these shares. | |
|
9. |
Sole Dispositive Power
0 | |
|
10. |
Shared Dispositive Power
3,871,216 shares of common stock. SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Seghezzi, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares. |
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
3,871,216 | |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
|
¨ |
| 13. |
Percent of Class Represented by Amount in Row 11
13.3%7 | |
| 14. |
Type of Reporting Person (see instructions)
IN | |
| 7 | Percentage of class is calculated based on 29,061,468 shares of common stock outstanding as of December 11, 2020, as reported in the Prospectus Supplement, dated as of December 8, 2020, filed pursuant to Rule 424(b)(5) by HOOKIPA Pharma Inc. with the SEC on December10, 2020. |
| Page 9 of 10 |
Amendment No. 1 to Schedule 13D
This Amendment No. 1 (“Amendment No. 1”) amends and supplements the Schedule 13D (the “Schedule 13D”) filed with the Securities and Exchange Commission (the “SEC”) by Sofinnova Capital VI FCPR (“SC VI”), Sofinnova Partners SAS, a French corporation (“SP SAS”), Denis Lucquin (“Lucquin”), Antoine Papiernik (“Papiernik”), Henrijette Richter (“Richter”), Monique Saulnier (“Saulnier”), and Graziano Seghezzi (“Seghezzi”), the managing partners of SP SAS (collectively, the “Listed Persons” and together with SC VI and SP SAS, the “Reporting Persons”) on April 30, 2019 (the “Schedule 13D”). Except as specifically provided herein, this Amendment No. 1 does not modify any of the information previously reported in the Schedule 13D, as amended. Capitalized terms used herein shall have the meanings ascribed to them in the Schedule 13D.
| Item 2. | Identity and Background |
Item 2(b) of the Schedule 13D is hereby amended and restated as follows:
| (b) | The address of the principal place of business for each of the Reporting Persons is Sofinnova Partners SAS, 7-11 boulevard Hausmann 75009 Paris, France. |
Item 2(c) of the Schedule 13D is hereby amended and restated as follows:
| (c) | The principal occupation of each of the Reporting Persons is the venture capital investment business. Each of the Listed Persons is employed at the offices of Sofinnova Partners SAS, 7-11 boulevard Hausmann 75009 Paris, France. |
| Item 5. | Intere st in Securities of the Issuer. |
Item 5(c) of the Schedule 13D is hereby amended and supplemented as follows:
| (c) | SC VI sold common stock of the Issuer on the following dates at the daily average prices indicated below: |
| Date | Shares | Per Share Average Price |
How Effected | |||||||||
| June 29, 2020 | 3,280 | $ | 11.7767 | Open Market | ||||||||
| July 1, 2020 | 905 | $ | 11.7942 | Open Market | ||||||||
| July 20, 2020 | 12,483 | $ | 11.9444 | Open Market | ||||||||
| July 21, 2020 | 1,284 | $ | 11.8755 | Open Market | ||||||||
| July 22, 2020 | 5,000 | $ | 11.7971 | Open Market | ||||||||
| July 23, 2020 | 27,048 | $ | 11.9250 | Open Market | ||||||||
| September 15, 2020 | 41,597 | $ | 12.6085 | Open Market | ||||||||
| October 2, 2020 | 300 | $ | 10.0000 | Open Market | ||||||||
| October 5, 2020 | 741 | $ | 10.0054 | Open Market | ||||||||
| Total: | 92,638 | |||||||||||
| Item 7. | Material to Be Filed as Exhibits. |
| Page 10 of 10 |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 2, 2021
| SOFINNOVA CAPITAL VI FCPR | SOFINNOVA PARTNERS SAS | |||
| By: Sofinnova Partners SAS | ||||
| By: | /s/ Monique Saulnier | By: | /s/ Monique Saulnier | |
| Name: | Monique Saulnier | Name: | Monique Saulnier | |
| Title: | Managing Partner | Title: | Managing Partner | |
| By: | /s/ Denis Lucquin | By: | /s/ Monique Saulnier | |
| Name: | Denis Lucquin | Name: | Monique Saulnier | |
| &# xA0; | ||||
| By: | /s/ Antoine Papiernik | By: | /s/ Henrijette Richter | |
| Name: | Antoine Papiernik | Name: | Henrijette Richter | |
| By: | /s/ Graziano Seghezzi | |||
| Name: | Graziano Seghezzi | |||