SEC Form 4 · accession 0000919574-18-007929

Avalo Therapeutics, Inc. · AVTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

Director · 10% Owner

10% Owner

Director · 10% Owner

Period of report

Dec 6, 2018

Accepted (ET)

Dec 10, 2018 · 6:02 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 Stock^F1	Dec 6, 2018	P	3,400	$3.4432	A	18,007,000	D
Common Stock^F2	Dec 6, 2018	P$0	0	$0.00	A	18,007,000	I	See Footnote
Common Stock^F2	Dec 6, 2018	P$0	0	$0.00	A	18,007,000	I	See Footnote
Common Stock^F1	Dec 6, 2018	P	13,000	$3.4452	A	18,020,000	D
Common Stock^F2	Dec 6, 2018	P$0	0	$0.00	A	18,020,000	I	See Footnote
Common Stock^F2	Dec 6, 2018	P$0	0	$0.00	A	18,020,000	I	See Footnote
Common Stock^F1	Dec 7, 2018	P	4,000	$3.4573	A	18,024,000	D
Common Stock^F2	Dec 7, 2018	P$0	0	$0.00	A	18,024,000	I	See Footnote
Common Stock^F2	Dec 7, 2018	P$0	0	$0.00	A	18,024,000	I	See Footnote
Common Stock^F1	Dec 7, 2018	P	2,185	$3.398	A	18,026,185	D
Common Stock^F2	Dec 7, 2018	P$0	0	$0.00	A	18,026,185	I	See Footnote
Common Stock^F2	Dec 7, 2018	P$0	0	$0.00	A	18,026,185	I	See Footnote
Common Stock^F1	Dec 10, 2018	P	1,815	$3.368	A	18,028,000	D
Common Stock^F2	Dec 10, 2018	P$0	0	$0.00	A	18,028,000	I	See Footnote
Common Stock^F2	Dec 10, 2018	P$0	0	$0.00	A	18,028,000	I	See Footnote
Common Stock^F1	Dec 10, 2018	P	8,000	$3.358	A	18,036,000	D
Common Stock^F2	Dec 10, 2018	P$0	0	$0.00	A	18,036,000	I	See Footnote
Common Stock^F2	Dec 10, 2018	P$0	0	$0.00	A	18,036,000	I	See Footnote
Common Stock^F1	Dec 10, 2018	P	4,000	$3.3551	A	18,040,000	D
Common Stock^F2	Dec 10, 2018	P$0	0	$0.00	A	18,040,000	I	See Footnote
Common Stock^F2	Dec 10, 2018	P$0	0	$0.00	A	18,040,000	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
WARRANTS^F1,F3	$0.40	holding	—	—	—	—	Jun 30, 2022	COMMON STOCK	14,285,714	14,285,714	D
WARRANTS^F2,F3	$0.40	holding	—	—	—	—	Jun 30, 2022	COMMON STOCK	14,285,714	14,285,714	I
WARRANTS^F2,F3	$0.40	holding	—	—	—	—	Jun 30, 2022	COMMON STOCK	14,285,714	14,285,714	I

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.