0001013762-23-001297.txt : 20231003 0001013762-23-001297.hdr.sgml : 20231003 20231003192844 ACCESSION NUMBER: 0001013762-23-001297 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231001 FILED AS OF DATE: 20231003 DATE AS OF CHANGE: 20231003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Santos da Silva Jorge CENTRAL INDEX KEY: 0001920509 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39630 FILM NUMBER: 231306136 MAIL ADDRESS: STREET 1: DORFSTRASSE 29 CITY: ZUG STATE: V8 ZIP: 6300 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MoonLake Immunotherapeutics CENTRAL INDEX KEY: 0001821586 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: DORFSTRASSE 29 CITY: ZUG STATE: V8 ZIP: 6300 BUSINESS PHONE: 41 41 510 8022 MAIL ADDRESS: STREET 1: DORFSTRASSE 29 CITY: ZUG STATE: V8 ZIP: 6300 FORMER COMPANY: FORMER CONFORMED NAME: Helix Acquisition Corp DATE OF NAME CHANGE: 20200818 4 1 ownership.xml X0508 4 2023-10-01 0 0001821586 MoonLake Immunotherapeutics MLTX 0001920509 Santos da Silva Jorge C/O MOONLAKE IMMUNOTHERAPEUTICS DORFSTRASSE 29 ZUG V8 6300 SWITZERLAND 1 1 0 0 Chief Executive Officer 0 Class A ordinary shares, par value $0.0001 per share 2023-10-01 4 C 0 3027483 A 3027483 D Class C ordinary shares, par value $0.0001 per share 2023-10-01 4 D 0 3027483 D 0 D Class A ordinary shares, par value $0.0001 per share 2023-10-01 4 C 0 140071 A 3167554 D Class C ordinary shares, par value $0.0001 per share 2023-10-01 4 D 0 140071 D 217374 D Common shares, par value CHF 0.10 per share, of MoonLake AG 2023-10-01 4 C 0 90000 D Class A ordinary shares, par value $0.0001 per share 3027483 0 D Common shares, par value CHF 0.10 per share, of MoonLake AG 2023-10-01 4 C 0 4164 D Class A ordinary shares, par value $0.0001 per share 140071 5836 D On October 1, 2023, the Reporting Person exchanged 94,164 common shares of MoonLake Immunotherapeutics AG ("MoonLake AG") for 3,167,554 Class A ordinary shares of the Issuer. In connection with the exchange, 3,167,554 Class C ordinary shares of the Issuer were automatically cancelled by the Issuer for no consideration. The common shares of MoonLake AG may be exchanged at the holder's option into Class A ordinary shares at a rate of 1 common share of MoonLake AG for 33.638698 Class A ordinary shares, rounded to the nearest whole share. Upon any such exchange of a common share of MoonLake AG, the corresponding Class C ordinary share of the Issuer will be automatically cancelled. 10,000 of the common shares of MoonLake AG held by the holder (the "second leaver shares") are subject to a reverse vesting condition, such that 25% vested on January 18, 2023 and 75% vest on the 18th of each month at a rate of 2.08%, and they will be fully vested on January 18, 2026 (the "second vesting period"). Upon the occurrence of any transfer of MoonLake AG shares in one or a series of related transactions that results in the proposed acquiror holding directly, or indirectly through one or more intermediaries, more than 50% of the then issued share capital of MoonLake AG (a "Change of Control"), the unvested second leaver shares will fully vest. (continued from footnote 4) If, before the end of the second vesting period the employment relationship of the holder is terminated (i) for any reason other than for cause, MoonLake AG or any third party designated by it, shall have an option to purchase all or a pro rata portion of the unvested second leaver shares at nominal value of CHF 0.10 per share or (ii) for cause, MoonLake AG or any third party designated by it, shall have an option to purchase all or a pro rata portion of the second leaver shares at nominal value of CHF 0.10 per share. In connection with any such purchase of such second leaver shares, the corresponding Class C ordinary shares of the Issuer will also be transferred to the purchaser. /s/ Matthias Bodenstedt, Attorney-in-fact for Jorge Santos da Silva 2023-10-03