James M. Frates - Jan 6, 2022 Form 3/A - Amendment Insider Report for Amylyx Pharmaceuticals, Inc. (AMLX)

Role: Chief Financial Officer
Signature: /s/ Joshua B. Cohen, as Attorney-in-Fact for James Frates
Stock symbol: AMLX
Transactions as of: Jan 6, 2022
Transactions value $: $0
Form type: 3/A - Amendment
Date filed: 4/26/2023, 07:30 PM
Date Of Original Report: Jan 6, 2022
Previous filing: Jun 17, 2021
Next filing: Mar 28, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
holding	AMLX	Series C-1 Preferred Stock							Jan 6, 2022	Common Stock	19.5K		By Trust	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This amendment on Form 3/A to the Form 3 originally filed on January 6, 2022 (the "Original Form 3") is being filed solely to include 19,482 shares of Series C-1 Preferred Stock held by the James M. Frates Grantor Retained Annuity Trust 2021, for which the Reporting Person serves as trustee, which were inadvertently omitted from the Original Form 3. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose.
F2	Each share of Series C-1 Preferred Stock is convertible on a one-for-one basis into Common Stock at any time at the election of the Reporting Person and will automatically convert upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 without payment or further consideration. The Series C-1 Preferred Stock has no expiration date.

Content

This amendment on Form 3/A to the Form 3 originally filed on January 6, 2022 (the "Original Form 3") is being filed solely to include 19,482 shares of Series C-1 Preferred Stock held by the James M. Frates Grantor Retained Annuity Trust 2021, for which the Reporting Person serves as trustee, which were inadvertently omitted from the Original Form 3. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose.

Each share of Series C-1 Preferred Stock is convertible on a one-for-one basis into Common Stock at any time at the election of the Reporting Person and will automatically convert upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 without payment or further consideration. The Series C-1 Preferred Stock has no expiration date.