Statement of Changes in Beneficial Ownership (4)
November 12 2021 - 05:47PM
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
*
Dominy Stephen S. |
2. Issuer Name and Ticker or Trading Symbol
Cortexyme, Inc.
[
CRTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Scientific Officer |
(Last)
(First)
(Middle)
C/O CORTEXYME, INC., 269 EAST GRAND AVE. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/12/2021 |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ 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 | 11/12/2021 | | P | | 763 | A | $14.40 | 1217086 | I | By the Dominy Family Trust 2016 (1) |
Common Stock | | | | | | | | 220588 | I | By The Stephen Dominy 2019 Annuity Trust (2) |
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) | Stephen S. Dominy is a trustee of the Dominy Family Trust 2016, and shares voting and dispositive power with one other trustee with respect to the shares held of record by the Dominy Family Trust 2016. |
(2) | Stephen S. Dominy is the trustee of the Stephen Dominy 2019 Annuity Trust, and has sole voting and dispositive power with respect to the shares held of record by the Stephen Dominy 2019 Annuity Trust. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dominy Stephen S. C/O CORTEXYME, INC. 269 EAST GRAND AVE. SOUTH SAN FRANCISCO, CA 94080 | X |
| Chief Scientific Officer |
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Signatures
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/s/ Caryn Gordon McDowell, as Attorney-in-Fact for Stephen S. Dominy | | 11/12/2021 |
**Signature of Reporting Person | Date |
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