SEC Form 4 · accession 0000919574-18-007754
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
Nov 21, 2018
Accepted (ET)
Nov 26, 2018 · 5:58 pm EST
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 StockF3,F1 | Nov 21, 2018 | P | 10,000 | $3.5805 | A | 17,860,000 | D | |
| Common StockF2 | Nov 21, 2018 | P$0 | 0 | $0.00 | A | 17,860,000 | I | See Footnote |
| Common StockF2 | Nov 21, 2018 | P$0 | 0 | $0.00 | A | 17,860,000 | I | See Footnote |
| Common StockF1 | Nov 23, 2018 | P | 5,000 | $3.6443 | A | 17,865,000 | D | |
| Common StockF2 | Nov 23, 2018 | P$0 | 0 | $0.00 | A | 17,865,000 | I | See Footnote |
| Common StockF2 | Nov 23, 2018 | P$0 | 0 | $0.00 | A | 17,865,000 | I | See Footnote |
| Common StockF4,F1 | Nov 26, 2018 | P | 35,000 | $3.5823 | A | 17,900,000 | D | |
| Common StockF2 | Nov 26, 2018 | P$0 | 0 | $0.00 | A | 17,900,000 | I | See Footnote |
| Common StockF2 | Nov 26, 2018 | P$0 | 0 | $0.00 | A | 17,900,000 | 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,F5 | $0.40 | holding | — | — | — | — | Jun 30, 2022 | COMMON STOCK | 14,285,714 | 14,285,714 | D |
| WARRANTSF2,F5 | $0.40 | holding | — | — | — | — | Jun 30, 2022 | COMMON STOCK | 14,285,714 | 14,285,714 | I |
| WARRANTSF2,F5 | $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 $3.5515 to $3.5976. 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.
- F4This constitutes the weighted average purchase price. The prices range from $3.5388 to $3.6380. 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.
- F5These warrants are currently exercisable.