Form 4 for AMLX Amylyx Pharmaceuticals, Inc.
Accepted 2022-01-10 00:00:00 ET · period of report 2022-01-06 · accession 0000899243-22-001525 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-01-10 | 2022-01-06 | AMLX | Cheng Isaac | Dir | C - Cnv Deriv | — | +10.42M | 1.41M | New | — |
| D | 2022-01-10 | 2022-01-06 | AMLX | Cheng Isaac | Dir | P - Purchase | $19.00 | +6,578 | 6,578 | New | +$125.0K |
| DMI | 2022-01-10 | 2022-01-06 | AMLX | Cheng Isaac | Dir | C - Cnv Deriv | $0.00 | -10.42M | 0 | -100% | $0 |
| D | 2022-01-10 | 2022-01-06 | AMLX | Cheng Isaac | Dir | A - Grant | $0.00 | +8,400 | 8,400 | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-01-06 | C | A | 6,410,964 | — | 7,819,999 | I See Footnote | — | — | (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. |
| 2 | Common | Common Stock | 2022-01-06 | C | A | 974,107 | — | 8,794,106 | I See Footnote | — | — | (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. |
| 3 | Common | Common Stock | 2022-01-06 | C | A | 1,621,544 | — | 10,415,650 | I See Footnote | — | — | (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. |
| 4 | Common | Common Stock | 2022-01-06 | P | A | 6,578 | $19.00 | 6,578 | D | — | — | |
| 5 | Common | Common Stock | 2022-01-06 | C | A | 1,409,035 | — | 1,409,035 | I See Footnote | — | — | (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. |
| 6 | Derivative | Series C-2 Preferred Stock | 2022-01-06 | C | D | 1,621,544 | $0.00 | 0 | I See Footnote | — · — to — | 1,621,544 Common Stock | (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. |
| 7 | Derivative | Series C-1 Preferred Stock | 2022-01-06 | C | D | 974,107 | $0.00 | 0 | I See Footnote | — · — to — | 974,107 Common Stock | (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. |
| 8 | Derivative | Series B Preferred Stock | 2022-01-06 | C | D | 6,410,964 | $0.00 | 0 | I See Footnote | — · — to — | 6,410,964 Common Stock | (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. |
| 9 | Derivative | Series A Preferred Stock | 2022-01-06 | C | D | 1,409,035 | $0.00 | 0 | I See Footnote | — · — to — | 1,409,035 Common Stock | (F2) These shares are held directly by Morningside Venture Investments Limited, or Morningside, and MVIL, LLC, a wholly-owned subsidiary of Morningside. The Reporting Person is an investment professional at Morningside Technology Advisory, LLC, an indirect advisor to Morningside and MVIL, LLC and may be deemed to indirectly beneficially own the shares held by Morningside and MVIL, LLC. The Reporting Person has no voting or dispositive power over the shares held by the Morningside shareholder entities and therefore disclaims beneficial ownership of such shares. (F1) Upon the closing of the Issuer's initial public offering, all shares of Series A , Series B, Series C-1 and Series C-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer and have no expiration date. |
| 10 | Derivative | Stock Option (Right to Buy) | 2022-01-06 | A | A | 8,400 | $0.00 | 8,400 | D | $19.00 · — to 2032-01-06 | 8,400 Common Stock | (F3) This option shall vest in full on the date of the Corporation's 2022 Annual Stockholders Meeting, subject to the Reporting Person's continuous service to the Issuer through such vesting date. |