SEC Form 4 · accession 0000919574-18-003873
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.
Director · 10% Owner
Steven Boyd
Director · 10% Owner
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 5:31 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 | May 15, 2018 | P | 92,700 | $3.5117 | A | 16,312,700 | D | |
| Common StockF2 | May 15, 2018 | P$0 | 0 | $0.00 | A | 16,312,700 | I | See Footnote |
| Common StockF2 | May 15, 2018 | P$0 | 0 | $0.00 | A | 16,312,700 | I | See Footnote |
| Common StockF1 | May 16, 2018 | P | 9,600 | $3.7474 | A | 16,322,300 | D | |
| Common StockF2 | May 16, 2018 | P$0 | 0 | $0.00 | A | 16,322,300 | I | See Footnote |
| Common StockF2 | May 16, 2018 | P$0 | 0 | $0.00 | A | 16,322,300 | I | See Footnote |
| Common StockF3,F1 | May 17, 2018 | P | 27,700 | $3.8312 | A | 16,350,000 | D | |
| Common StockF2 | May 17, 2018 | P$0 | 0 | $0.00 | A | 16,350,000 | I | See Footnote |
| Common StockF2 | May 17, 2018 | P$0 | 0 | $0.00 | A | 16,350,000 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WARRANTSF1,F4 | $0.40 | holding | — | — | — | — | Jun 30, 2022 | COMMON STOCK | 14,285,714 | 14,285,714 | D |
| WARRANTSF2,F4 | $0.40 | holding | — | — | — | — | Jun 30, 2022 | COMMON STOCK | 14,285,714 | 14,285,714 | I |
| WARRANTSF2,F4 | $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.
- F3This constitutes the weighted average purchase price. The prices range from $3.7928 to $3.8776. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F4These warrants are currently exercisable.