SEC Form 4 · accession 0000919574-19-000168
Avalo Therapeutics, Inc. · AVTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 5:49 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 StockF1 | Jan 4, 2019 | P | 20,000 | $3.416 | A | 18,148,799 | I | See Footnote |
| Common StockF1 | Jan 7, 2019 | P | 6,504 | $3.6508 | A | 18,155,303 | I | See Footnote |
| Common StockF1 | Jan 8, 2019 | P | 500 | $3.698 | A | 18,155,803 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported securities are directly owned by certain investment advisory clients of Armistice Capital, LLC ("Armistice Capital"), and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such advisory clients. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital 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.