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*
EPIQ Capital Group, LLC

(Last) (First) (Middle)
ONE LOMBARD STREET, SUITE 200

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Applied Molecular Transport Inc. [ AMTI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Managing Member of 10% owner
3. Date of Earliest Transaction (Month/Day/Year)
06/09/2020
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)
Code V Amount (A) or (D) Price
Common Stock 06/09/2020 C 2,149,292(1)(3) A $0 2,149,292 I See footnotes(7)(8)
Common Stock 06/09/2020 C 3,394,948(2)(4) A $0 5,544,240 I See footnotes(7)(8)
Common Stock 06/09/2020 P 2,500,000(5) A $14 8,044,240 I See footnotes(7)(8)
Common Stock 06/09/2020 P 220,000(6) A $14 8,264,240 I See footnotes(7)(8)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series B Preferred Stock (1) 06/09/2020 C 2,149,292(1) (1) (1) Common Stock 2,149,292 (1) 0 I See footnotes(3)(7)
Series C Preferred Stock (2) 06/09/2020 C 3,394,948(2) (2) (2) Common Stock 3,394,948 (2) 0 I See footnotes(4)(7)
1. Name and Address of Reporting Person*
EPIQ Capital Group, LLC

(Last) (First) (Middle)
ONE LOMBARD STREET, SUITE 200

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
EPQ LLC AMT PS

(Last) (First) (Middle)
ONE LOMBARD STREET, SUITE 200

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
EPQ LLC, AMTB PS

(Last) (First) (Middle)
ONE LOMBARD STREET, SUITE 200

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
EPQ LLC, AMTC PS

(Last) (First) (Middle)
9650 GATEWAY DRIVE, SUITE 200

(Street)
RENO NV 89521

(City) (State) (Zip)
Explanation of Responses:
1. Automatic conversion of Series B Preferred stock held by EPQ LLC, AMT PS to Common Stock in connection with the initial public offering of the Issuer.
2. Automatic conversion of Series C Preferred stock held by EPQ LLC, AMTB PS to Common Stock in connection with the initial public offering of the Issuer.
3. EPQ LLC, AMT PS is the direct owner of these shares.
4. EPQ LLC, AMTB PS is the direct owner of these shares.
5. EPQ LLC, AMTC PS is the direct owner of these shares.
6. Chad Boeding is the direct owner of these shares.
7. EPIQ Capital Group, LLC ("EPIQ") is the managing member of EPQ LLC, AMT PS, EPQ LLC, AMTB PS, and EPQ LLC, AMTC PS (the "EPQ Funds"). Chad Boeding is the Manager of EPIQ. EPQ LLC, AMT PS directly owns 2,149,292 common shares. EPQ LLC, AMTB PS directly owns 3,394,948 common shares. EPQ LLC, AMTC PS directly owns 2,500,000 common shares. Chad Boeding directly owns 220,000 common shares.
8. Each of EPIQ, the EPQ Funds, and Mr. Boeding disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934 except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Chad Boeding 06/11/2020
** Signature of Reporting Person Date
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