SEC Form 4 · accession 0000919574-18-008056

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

Dec 14, 2018

Accepted (ET)

Dec 18, 2018 · 5:23 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^F3,F1	Dec 14, 2018	P	28,032	$3.3335	A	18,068,032	D
Common Stock^F2	Dec 14, 2018	P$0	0	$0.00	A	18,068,032	I	See Footnote
Common Stock^F2	Dec 14, 2018	P$0	0	$0.00	A	18,068,032	I	See Footnote
Common Stock^F4,F1	Dec 17, 2018	P	14,938	$3.2602	A	18,082,970	D
Common Stock^F2	Dec 17, 2018	P$0	0	$0.00	A	18,082,970	I	See Footnote
Common Stock^F2	Dec 17, 2018	P$0	0	$0.00	A	18,082,970	I	See Footnote
Common Stock^F5,F1	Dec 18, 2018	P	7,030	$3.309	A	18,090,000	D
Common Stock^F2	Dec 18, 2018	P$0	0	$0.00	A	18,090,000	I	See Footnote
Common Stock^F2	Dec 18, 2018	P$0	0	$0.00	A	18,090,000	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
WARRANTS^F1,F6	$0.40	holding	—	—	—	—	Jun 30, 2022	COMMON STOCK	14,285,714	14,285,714	D
WARRANTS^F2,F6	$0.40	holding	—	—	—	—	Jun 30, 2022	COMMON STOCK	14,285,714	14,285,714	I
WARRANTS^F2,F6	$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 $3.3180 to $3.3579. 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 $3.2522 to $3.2966. 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.
F5This constitutes the weighted average purchase price. The prices range from $3.2980 to $3.3471. 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.
F6These warrants are currently exercisable.