SEC Form 4 · accession 0000919574-17-006460
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
ARMISTICE CAPITAL, LLC
Director · 10% Owner
Armistice Capital Master Fund Ltd.
10% Owner
Steven Boyd
Director · 10% Owner
Period of report
Aug 25, 2017
Accepted (ET)
Aug 29, 2017 · 6:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001534120
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 25, 2017 | P | 38,328 | $0.7538 | A | 15,794,037 | D | |
| Common Stock | Aug 25, 2017 | P$0 | 0 | $0.00 | A | 15,794,037 | I | See Footnote 2 |
| Common Stock | Aug 25, 2017 | P$0 | 0 | $0.00 | A | 15,794,037 | I | See Footnote 2 |
| Common StockF1 | Aug 28, 2017 | P | 25,321 | $0.7257 | A | 15,819,358 | D | |
| Common Stock | Aug 28, 2017 | P$0 | 0 | $0.00 | A | 15,819,358 | I | See Footnote 2 |
| Common Stock | Aug 28, 2017 | P$0 | 0 | $0.00 | A | 15,819,358 | I | See Footnote 2 |
| Common StockF1 | Aug 29, 2017 | P | 50,000 | $0.7159 | A | 15,869,358 | D | |
| Common Stock | Aug 29, 2017 | P$0 | 0 | $0.00 | A | 15,869,358 | I | See Footnote 2 |
| Common Stock | Aug 29, 2017 | P$0 | 0 | $0.00 | A | 15,869,358 | I | See Footnote 2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WARRANTSF1,F3 | $0.40 | holding | — | — | — | — | Jun 30, 2022 | Common Stock | 14,285,714 | 14,285,714 | D |
| WARRANTSF2,F3 | $0.40 | holding | — | — | — | — | Jun 30, 2022 | Common Stock | 14,285,714 | 14,285,714 | I |
| WARRANTSF2,F3 | $0.40 | holding | — | — | — | — | Jun 30, 2022 | Common Stock | 14,285,714 | 14,285,714 | I |
Explanation of responses
- F1The reported securities are directly owned by Armistice Capital Master Fund, Ltd.
- F2The reported securities are directly owned by Armistice Capital Master Fund, Ltd., a Cayman Islands corporation, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, as the investment manager of Armistice Capital Master Fund, Ltd. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital, LLC and Director of Armistice Capital Master Fund, Ltd. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F3These warrants are currently exercisable.