SEC Form 4 · accession 0000919574-19-002243

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

Mar 6, 2019

Accepted (ET)

Mar 8, 2019 · 6:33 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	Mar 6, 2019	P	239,000	$5.50	A	280,000	I	See Footnote
Common Stock^F2	Mar 6, 2019	P	124,637	$5.50	A	18,253,436	D
Common Stock^F3	Mar 6, 2019	P$0	0	$0.00	A	18,253,436	I	See Footnote
Common Stock^F3	Mar 6, 2019	P$0	0	$0.00	A	18,253,436	I	See Footnote
Common Stock^F2	Mar 6, 2019	P	849	$5.499	A	18,254,285	D
Common Stock^F3	Mar 6, 2019	P$0	0	$0.00	A	18,254,285	I	See Footnote
Common Stock^F3	Mar 6, 2019	P$0	0	$0.00	A	18,254,285	I	See Footnote
Common Stock^F2	Mar 7, 2019	P	3,000	$5.4482	A	18,257,285	D
Common Stock^F3	Mar 7, 2019	P$0	0	$0.00	A	18,257,285	I	See Footnote
Common Stock^F3	Mar 7, 2019	P$0	0	$0.00	A	18,257,285	I	See Footnote
Common Stock^F2	Mar 7, 2019	P	500	$5.3615	A	18,257,785	D
Common Stock^F3	Mar 7, 2019	P$0	0	$0.00	A	18,257,785	I	See Footnote
Common Stock^F3	Mar 7, 2019	P$0	0	$0.00	A	18,257,785	I	See Footnote
Common Stock^F2	Mar 7, 2019	P	2,500	$5.5125	A	18,260,285	D
Common Stock^F3	Mar 7, 2019	P$0	0	$0.00	A	18,260,285	I	See Footnote
Common Stock^F3	Mar 7, 2019	P$0	0	$0.00	A	18,260,285	I	See Footnote
Common Stock^F2	Mar 8, 2019	P	4,000	$5.4588	A	18,264,285	D
Common Stock^F3	Mar 8, 2019	P$0	0	$0.00	A	18,264,285	I	See Footnote
Common Stock^F3	Mar 8, 2019	P$0	0	$0.00	A	18,264,285	I	See Footnote

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The reported securities are directly owned by a separately managed account client of Armistice Capital, LLC ("Armistice Capital"), and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such client. 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.
F2The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund").
F3The reported securities are directly owned by the Master Fund, and may be deemed to be indirectly beneficially owned by Armistice Capital, as the investment manager of the Master Fund. 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.