Initial Statement of Beneficial Ownership (3)
June 14 2019 - 12:37PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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EPIQ Capital Group, LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/9/2019
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3. Issuer Name
and
Ticker or Trading Symbol
Cortexyme, Inc. [CRTX]
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(Last)
(First)
(Middle)
ONE LOMBARD STREET, SUITE 200
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
___
X
___ Other (specify below)
/ IA/Managing Member 10% owner
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(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1750000
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I
(1)
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Managing Member of EPQ LLC, CTYM PS
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Common Stock
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936309
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I
(1)
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Managing Member of CTEPQ Partners LLC
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Common Stock
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120070
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I
(1)
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By Mr. Boeding as Managing Member of Wyntoon Partners LLC
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Common Stock
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9003
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I
(1)
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By Mr. Boeding as Trustee of Boeding Family Trust
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Common Stock
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1814
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D
(1)
(2)
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Common Stock
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1000
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I
(1)
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By Mr. Boeding's spouse
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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The reporting persons are EPIQ Capital Group, LLC ("EPIQ") and Chad Boeding. EPIQ is the investment adviser and managing member of EPQ LLC, CTYM PS ("CTYM") and CTEPQ Partners LLC ("CTEPQ"). Together CTYM and CTEPQ beneficially own +10% of the common stock of the issuer. Mr. Boeding is the Managing Member of EPIQ. EPIQ is filing this Form 3 on behalf of itself and Mr. Boeding jointly, but not as a group, and each reporting person expressly disclaims membership in a group, within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended.
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(2)
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Beneficially owned directly by Mr. Boeding.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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EPIQ Capital Group, LLC
ONE LOMBARD STREET, SUITE 200
SAN FRANCISCO, CA 94111
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IA/Managing Member 10% owner
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Boeding Chad
ONE LOMBARD STREET, SUITE 200
SAN FRANCISCO, CA 94111
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X
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Signatures
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Chad Boeding as Managing Member of EPIQ Capital Group LLC
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6/14/2019
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**
Signature of Reporting Person
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Date
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Chad Boeding
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6/14/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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