Form 4 for MLTX MoonLake Immunotherapeutics
Accepted 2022-04-07 00:00:00 ET · period of report 2022-04-05 · accession 0001213900-22-018751 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-04-07 | 2022-04-05 | MLTX | Helix Holdings LLC | Former 10% Holder | C - Cnv Deriv | $0.00 | +2.79M | 3.21M | +648% | $0 |
| D | 2022-04-07 | 2022-04-05 | MLTX | Helix Holdings LLC | Former 10% Holder | C - Cnv Deriv | — | -2.79M | 0 | -100% | — |
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 | Class A Ordinary Shares | 2022-04-05 | C | A | 2,785,000 | $0.00 | 3,215,000 | D | — | — | (F2) Helix Holdings LLC is the record holder of these securities reported. Bihua Chen is the manager of Helix Holdings LLC and has voting and investment discretion with respect to the securities held of record by Helix Holdings LLC. Ms. Chen disclaims any beneficial ownership of the securities held by Helix Holdings LLC other than to the extent of any pecuniary interest she may have therein, directly or indirectly. |
| 2 | Derivative | Class B Ordinary Shares | 2022-04-05 | C | D | 2,785,000 | — | 0 | D | — · — to — | 2,785,000 Class A Ordinary Shares | (F1) Each of the Issuer's Class B Ordinary Shares were convertible into Class A Ordinary Shares upon consummation of the Issuer's initial business combination and had no expiration date. In connection with the consummation of the Issuer's initial business combination ("Business Combination") and pursuant to the Business Combination Agreement dated as of October 4, 2021, by and between the Issuer, MoonLake Immunotherapeutics AG, and the other parties thereto (the "Business Combination Agreement"), such Class B Ordinary Shares automatically converted into an equal number of Class A Ordinary Shares. (F2) Helix Holdings LLC is the record holder of these securities reported. Bihua Chen is the manager of Helix Holdings LLC and has voting and investment discretion with respect to the securities held of record by Helix Holdings LLC. Ms. Chen disclaims any beneficial ownership of the securities held by Helix Holdings LLC other than to the extent of any pecuniary interest she may have therein, directly or indirectly. |