Form 4/A for AMLX Amylyx Pharmaceuticals, Inc.
Accepted 2023-03-24 00:00:00 ET · period of report 2023-03-16 · accession 0000899243-23-009602 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2023-03-24 | 2023-03-16 | AMLX | FRATES JAMES M | CFO | A - Grant | $0.00 | +21.7K | 55.7K | +64% | $0 |
| DMA | 2023-03-24 | 2023-03-16 | AMLX | FRATES JAMES M | CFO | S - Sale+OE | $31.89 | -32.5K | 35.7K | -48% | -$1.04M |
| DA | 2023-03-24 | 2023-03-16 | AMLX | FRATES JAMES M | CFO | M - OptEx | $6.88 | +32.5K | 66.5K | +96% | +$223.6K |
| DA | 2023-03-24 | 2023-03-16 | AMLX | FRATES JAMES M | CFO | M - OptEx | $0.00 | -32.5K | 414.5K | -7% | $0 |
| DA | 2023-03-24 | 2023-03-16 | AMLX | FRATES JAMES M | CFO | A - Grant | $0.00 | +97.5K | 97.5K | 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 | 2023-03-16 | A | A | 21,667 | $0.00 | 55,676 | D | — | — | (F5) The reported transaction involves the Reporting Person's receipt of a restricted stock unit award (a "RSU"). The RSU shall vest in 4 equal annual installments, with the first installment vesting on the first day of the month of the one year anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer through such vesting date. (F1) On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. |
| 2 | Common | Common Stock | 2023-03-16 | S | D | 1,704 | $32.46 | 34,009 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.33 to $32.93. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. (F1) On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. |
| 3 | Common | Common Stock | 2023-03-16 | S | D | 30,796 | $31.86 | 35,713 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.33 to $32.30. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. (F1) On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. |
| 4 | Common | Common Stock | 2023-03-16 | M | A | 32,500 | $6.88 | 66,509 | D | — | — | (F1) On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. |
| 5 | Derivative | Stock Option (right to buy) | 2023-03-16 | M | D | 32,500 | $0.00 | 414,500 | D | $6.88 · — to 2031-01-25 | 32,500 Common Stock | (F7) 113,024 shares underlying this option vested on January 25, 2022, with the remaining shares vesting in monthly installments of 9,416 shares thereafter. |
| 6 | Derivative | Stock Option (right to buy) | 2023-03-16 | A | A | 97,500 | $0.00 | 97,500 | D | $32.08 · — to 2033-03-16 | 97,500 Common Stock | (F6) 1/4 of the shares subject to the option shall vest and become exercisable on the first day of the month of the one year anniversary of the date of grant, and the remaining shares shall vest monthly over the remaining 36 months, subject to the Reporting Person's continuous service to the Issuer through such vesting date. |