Filing Details
- Accession Number:
- 0000078003-19-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-14 07:34:53
- Reporting Period:
- 2019-05-13
- Accepted Time:
- 2019-05-14 07:34:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1662774 | Cortexyme Inc. | CRTX | Pharmaceutical Preparations (2834) | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 78003 | Pfizer Inc | 235 E 42Nd St New York NY 10017 | No | No | Yes | No | |
| 1776087 | Pfizer Ventures (Us) Llc | 235 East 42Nd Street New York NY 10017 | No | No | Yes | No | |
| 1776115 | Pfizer Strategic Investment Holdings Llc | 235 East 42Nd Street New York NY 10017 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-05-13 | 2,360,071 | $0.00 | 2,360,071 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2019-05-13 | 215,697 | $0.00 | 2,575,768 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2019-05-13 | 624,205 | $0.00 | 3,199,973 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2019-05-13 | 50,000 | $17.00 | 3,249,973 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Redeemable Convertible Preferred Stock | Disposition | 2019-05-13 | 2,360,071 | $0.00 | 2,360,071 | $0.00 |
| Common Stock | Series B Redeemable Convertible Preferred Stock | Disposition | 2019-05-13 | 215,697 | $0.00 | 215,697 | $0.00 |
| Common Stock | Series B Redeemable Convertible Preferred Stock | Disposition | 2019-05-13 | 624,205 | $0.00 | 624,205 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.
- Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.
- PVUS purchased 50,000 additional shares of common stock in the Issuer's initial public offering for consideration of $17.00 per share.
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