Christine D. Baker Form 3 HOOKIPA Pharma / Christine D. Baker ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Baker Christine D.

(Last) (First) (Middle)

C/O HOOKIPA PHARMA INC.

350 FIFTH AVENUE, 72ND FLOOR, SUITE 7240

(Street)

NEW YORK NY 10118

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/11/2021

3. Issuer Name and Ticker or Trading Symbol
HOOKIPA Pharma Inc. [ HOOK ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Business Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	2,500(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	(2)	12/09/2029	Common Stock	180,000	8.21	D
Stock Option (Right to Buy)	(3)	04/20/2030	Common Stock	60,500	8.03	D

Explanation of Responses:

1. The Reporting Person was awarded 2,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of HOOKIPA Pharma Inc.'s Common Stock. The restricted stock units vest shall vest in four equal installments on March 20, 2021, May 15, 2021, August 15, 2021 and November 15, 2021. The restricted stock units may be settled only by delivering shares of HOOKIPA Pharma Inc.'s Common Stock, and thus, the grant is being reported in Table 1 as allowed per SEC guidance.

2. 25% of this option vested and became exercisable on December 9, 2020, with the remainder vesting in 12 equal quarterly installments thereafter.

3. 25% of this option vested and became exercisable on February 15, 2021, with the remainder vesting in 12 equal quarterly installments thereafter.

Remarks:

Exhibit 24.1: Power of Attorney

	/s/ Christine D. Baker	03/22/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
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