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Table of Contents 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON , D.C. 20549 FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number : 001-38869 HOOKIPA PHARMA INC . ( Exact name of registrant as specified in its charter ) Delaware ( State of Other Jurisdiction of incorporation or Organization ) 350 Fifth Avenue , 72nd Floor , Suite 7240 New York , New York ( Address of principal executive offices ) Title of Each Class Common Stock , $ 0.0001 Par Value per Share 81-5395687 ( I.R.S. Employer Identification No. ) Registrant's telephone number , including area code : +43 1 890 63 60 Securities registered pursuant to Section 12 ( b ) of the Act : Accelerated filer 10118 ( Zip code ) Trading Symbol ( s ) HOOK Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes No Indicate by check mark whether the registrant : ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Non - accelerated filer X Name Of Each Exchange On Which Registered The Nasdaq Global Select Market Indicate by check mark whether the Registrant has submitted electronically ; every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.0405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of “ large accelerated filer , ” “ accelerated filer , ” “ smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No Based on the closing price as reported on the Nasdaq Global Select Market , the aggregate market value of the Registrant's Common Stock held by non affiliates on June 30 , 2020 ( the last business day of the Registrant's most recently completed second fiscal quarter ) was approximately $ 207.2 million . Shares of Common Stock held by each executive officer and director and by each shareholder affiliated with a director or an executive officer have been excluded from this calculation because such persons may be deemed to be affiliates . This determination of affiliate status is not necessarily a conclusive determination for other purposes . The number of outstanding shares of the Registrant's Common Stock as of March 7 , 2021 was 25,969,612 and 3,819,732 shares of Class A common stock outstanding , each $ 0.0001 par value per share . Documents Incorporated by Reference The registrant intends to file a proxy statement pursuant to Regulation 14A within 120 days of the end of the fiscal year ended December 31 , 2020. Portions of such proxy statement are incorporated by reference into Part III of this Annual Report on Form 10 - K .