Form 4 for AMLX Amylyx Pharmaceuticals, Inc.
Accepted 2022-01-13 00:00:00 ET · period of report 2022-01-11 · accession 0001140361-22-001654 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-01-13 | 2022-01-11 | AMLX | Viking Global Opportunities Illiquid Investments Sub-Master LP | 10% | P - Purchase | $19.00 | +2.30M | 2.30M | New | +$43.70M |
| DI | 2022-01-13 | 2022-01-11 | AMLX | Viking Global Opportunities Illiquid Investments Sub-Master LP | 10% | C - Cnv Deriv | — | +4.87M | 4.87M | New | — |
| DI | 2022-01-13 | 2022-11-11 | AMLX | Viking Global Opportunities Illiquid Investments Sub-Master LP | 10% | C - Cnv Deriv | $0.00 | -4.87M | 0 | -100% | $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 | 2022-01-11 | P | A | 2,300,000 | $19.00 | 2,300,000 | I See Explanation of Responses | — | — | (F4) The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. (F7) The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. (F6) These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. (F1) Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. |
| 2 | Common | Common Stock | 2022-01-11 | C | A | 4,870,536 | — | 4,870,536 | I See Explanation of Responses | — | — | (F5) Each share of Series C-1 preferred stock was convertible on a one-for-one basis into Common Stock at any time at the election of the Reporting Persons and automatically converted upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 of Table II without payment or further consideration. The Series C-1 Preferred stock had no expiration date. (F4) The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. (F3) Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. (F2) These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. (F1) Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. |
| 3 | Derivative | Series C-1 Preferred Stock | 2022-11-11 | C | D | 4,870,536 | $0.00 | 0 | I See Explanation of Responses | — · — to — | 4,870,536 Common Stock | (F4) The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. (F3) Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. (F2) These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. (F1) Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. (F5) Each share of Series C-1 preferred stock was convertible on a one-for-one basis into Common Stock at any time at the election of the Reporting Persons and automatically converted upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 of Table II without payment or further consideration. The Series C-1 Preferred stock had no expiration date. |