Amended Statement of Changes in Beneficial Ownership (4/a)
November 29 2019 - 1:00PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
EPIQ Capital Group, LLC |
2. Issuer Name and Ticker or Trading Symbol
Cortexyme, Inc.
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CRTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) IA/Managing Member of 10% owne |
(Last)
(First)
(Middle)
ONE LOMBARD STREET, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/9/2019 |
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/19/2019 |
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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/16/2019 | | P | | 700 | A | $26.3714 | 2840510 (2) | I (1) | By Mr. Boeding as Trustee of Boeding Family Trust |
Common Stock | 8/19/2019 | | P | | 2100 | A | $26.4952 | 2842610 (2) | I (1) | By Mr. Boeding as Trustee of Boeding Family Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | 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 4 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. |
(2) | Subsequent to an amended Form 3 filed 11/29/2019, the reporting persons are hereby amending Form 4 filed 8/19/2019 to amend the reported amount of securities beneficially owned for each transaction reported in Table 1. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
EPIQ Capital Group, LLC ONE LOMBARD STREET, SUITE 200 SAN FRANCISCO, CA 94111 |
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| IA/Managing Member of 10% owne |
Boeding Chad ONE LOMBARD STREET, SUITE 200 SAN FRANCISCO, CA 94111 |
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| Managing Member of Managing Me |
Signatures
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Chad Boeding | | 11/29/2019 |
**Signature of Reporting Person | Date |
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