SEC Filing | Amylyx Pharmaceuticals, Inc.

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

VIKING GLOBAL INVESTORS LP

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Amylyx Pharmaceuticals, Inc. [ AMLX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
09/08/2022

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	09/08/2022		S		80,715	D	$27.2823⁽⁷⁾	4,789,821	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/08/2022		S		108,631	D	$28.1557⁽⁸⁾	4,681,190	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/08/2022		S		159,026	D	$29.1426⁽⁹⁾	4,522,164	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/08/2022		S		15,996	D	$30.5875⁽¹⁰⁾	4,506,168	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/08/2022		S		111,102	D	$32.2296⁽¹¹⁾	4,395,066	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/08/2022		S		38,116	D	$27.2823⁽⁷⁾	2,261,884	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾
Common Stock	09/08/2022		S		51,298	D	$28.1557⁽⁸⁾	2,210,586	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾
Common Stock	09/08/2022		S		75,096	D	$29.1426⁽⁹⁾	2,135,490	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾
Common Stock	09/08/2022		S		7,554	D	$30.5875⁽¹⁰⁾	2,127,936	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾
Common Stock	09/08/2022		S		52,466	D	$32.2296⁽¹¹⁾	2,075,470	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾
Common Stock	09/09/2022		S		312,353	D	$29.8677⁽¹²⁾	4,082,713	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/09/2022		S		156,463	D	$30.8963⁽¹³⁾	3,926,250	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/09/2022		S		6,654	D	$31.4424⁽¹⁴⁾	3,919,596	I	See Explanation of Responses⁽¹⁾⁽²⁾⁽³⁾⁽⁴⁾
Common Stock	09/09/2022		S		147,502	D	$29.8677⁽¹²⁾	1,927,968	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾
Common Stock	09/09/2022		S		73,886	D	$30.8963⁽¹³⁾	1,854,082	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾
Common Stock	09/09/2022		S		3,142	D	$31.4424⁽¹⁴⁾	1,850,940	I	See Explanation of Responses⁽¹⁾⁽⁴⁾⁽⁵⁾⁽⁶⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

1. Name and Address of Reporting Person^*

VIKING GLOBAL INVESTORS LP

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Viking Global Opportunities Illiquid Investments Sub-Master LP

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Viking Global Opportunities Portfolio GP LLC

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Viking Global Opportunities GP LLC

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Viking Global Opportunities Parent GP LLC

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

HALVORSEN OLE ANDREAS

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Ott David C.

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Shabet Rose Sharon

(Last)

(First)

(Middle)

55 RAILROAD AVENUE

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

DRAGSA 96 LLC

(Last)

(First)

(Middle)

55 RAILROAD AVE.

(Street)

GREENWICH

06830

(City)

(State)

(Zip)

Explanation of Responses:

1. 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. 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.

3. Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as 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.

4. 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.

5. 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.

6. 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.

7. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $27.00 to $27.85. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (7) through (14) of this Form 4.

8. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.00 to $28.465.

9. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.52.

10. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.00 to $30.785.

11. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.00 to $32.71.

12. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.25 to $30.245.

13. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.25 to $31.2475.

14. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.25 to $31.61.

Remarks:

(15) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. (16) Scott M. Hendler is signing on behalf of Mr. Halvorsen, Mr. Ott and Ms. Shabet, each individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, as manager of DRAGSA 96 LLC and as an Executive Committee Member of VIKING GLOBAL OPPORTUNITIES PARENT GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES GP LLC, VIKING GLOBAL OPPORTUNITIES PORTFOLIO GP LLC, and VIKING GLOBAL OPPORTUNITIES ILLIQUID INVESTMENTS SUB-MASTER LP, pursuant to authorization and designation letters dated February 9, 2021, which were filed with the Securities and Exchange Commission on June 7, 2021.

	/s/ Scott M. Hendler signing on behalf of O. Andreas Halvorsen (15) (16)	09/09/2022
	/s/ Scott M. Hendler signing on behalf of David C. Ott (15) (16)	09/09/2022
	/s/ Scott M. Hendler signing on behalf of Rose S. Shabet (15) (16)	09/09/2022
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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