organization · Reporting owner
ARMISTICE CAPITAL, LLC
Disclosed activity across 21 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALIMERA SCIENCES INCALIM · Entity 11664 | 10% owner | February 02, 2018 | February 09, 2018 |
| AMAG PHARMACEUTICALS, INC.AMAG · Entity 145305 | 10% owner | March 16, 2020 | March 18, 2020 |
| AYTU BIOPHARMA, INCAYTU · Entity 7560 | Director | March 20, 2021 | May 11, 2021 |
| Avalo Therapeutics, Inc.AVTX · Entity 4936 | 10% owner | June 26, 2023 | June 28, 2023 |
| DYNATRONICS CORPDYNT · Entity 73792 | 10% owner | March 21, 2017 | May 24, 2017 |
| KIORA PHARMACEUTICALS INCEYEG · Entity 7940 | 10% owner | July 30, 2021 | August 03, 2021 |
| SEELOS THERAPEUTICS, INC.APRI · Entity 93662 | 10% owner | September 20, 2018 | September 27, 2018 |
| TENAX THERAPEUTICS, INC.TENX · Entity 979 | Director | May 18, 2022 | May 20, 2022 |
| Vaxart, Inc.VXRT · Entity 6654 | Director | June 26, 2020 | June 30, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALIMERA SCIENCES INC
Report date February 02, 2018 · Filed February 09, 2018
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,936,000 |
Last balance in matching sequence
After 2018-02-06 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-02-02 · Purchase · Acquired 8,000 · Balance 6,924,000 F1: The reported securities are directly owned by Armistice Capital Master Fund, Ltd. Row 4 · 2018-02-05 · Purchase · Acquired 4,000 · Balance 6,928,000 F1: The reported securities are directly owned by Armistice Capital Master Fund, Ltd. Row 7 · 2018-02-06 · Purchase · Acquired 8,000 · Balance 6,936,000 F1: The reported securities are directly owned by Armistice Capital Master Fund, Ltd. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,924,000 |
Reported balance
After 2018-02-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-02-02 · Purchase · Acquired 0 · Balance 6,924,000 F2: The 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,924,000 |
Reported balance
After 2018-02-02 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-02-02 · Purchase · Acquired 0 · Balance 6,924,000 F2: The 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,928,000 |
Reported balance
After 2018-02-05 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2018-02-05 · Purchase · Acquired 0 · Balance 6,928,000 F2: The 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,928,000 |
Reported balance
After 2018-02-05 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2018-02-05 · Purchase · Acquired 0 · Balance 6,928,000 F2: The 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,936,000 |
Reported balance
After 2018-02-06 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2018-02-06 · Purchase · Acquired 0 · Balance 6,936,000 F2: The 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,936,000 |
Reported balance
After 2018-02-06 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2018-02-06 · Purchase · Acquired 0 · Balance 6,936,000 F2: The 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund, Ltd.
F2: The 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.
AMAG PHARMACEUTICALS, INC.
Report date March 16, 2020 · Filed March 18, 2020
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 348,000 |
Reported balance
After 2020-03-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-16 · Purchase · Acquired 24,000 · Balance 348,000 F1: The 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 separately managed account. 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 (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 4,120,000 |
Reported balance
Holding disclosure · report date 2020-03-16 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,120,000 F2: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (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 Exchange Act or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The 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 separately managed account. 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 (the "Exchange Act"), or for any other purpose.
F2: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (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 Exchange Act or for any other purpose.
AYTU BIOPHARMA, INC
Report date March 20, 2021 · Filed May 11, 2021
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,342,378 |
Last balance in matching sequence
After 2021-03-29 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-03-20 · Other · Acquired 6,959 · Balance 1,340,293 F2: The reported Shares were acquired by the Master Fund from the Issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the Issuer and Innovus on February 14, 2020. The number of Shares received by the Master Fund pursuant to the CVRs was determined by the Issuer through the application of a formula based on the Issuer's achievement of certain revenue and profitability milestones. F1: The reported shares of common stock (the "Shares") of Aytu BioPharma, Inc. (the "Issuer") are directly held by Armistice s (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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 (the "Exchange Act"), or for any other purpose. Row 3 · 2021-03-29 · Other · Acquired 2,085 · Balance 1,342,378 F2: The reported Shares were acquired by the Master Fund from the Issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the Issuer and Innovus on February 14, 2020. The number of Shares received by the Master Fund pursuant to the CVRs was determined by the Issuer through the application of a formula based on the Issuer's achievement of certain revenue and profitability milestones. F1: The reported shares of common stock (the "Shares") of Aytu BioPharma, Inc. (the "Issuer") are directly held by Armistice s (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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 (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 1,340,293 |
Reported balance
After 2021-03-20 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-03-20 · Other · Acquired 0 · Balance 1,340,293 F2: The reported Shares were acquired by the Master Fund from the Issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the Issuer and Innovus on February 14, 2020. The number of Shares received by the Master Fund pursuant to the CVRs was determined by the Issuer through the application of a formula based on the Issuer's achievement of certain revenue and profitability milestones. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 1,342,378 |
Reported balance
After 2021-03-29 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-03-29 · Other · Acquired 0 · Balance 1,342,378 F2: The reported Shares were acquired by the Master Fund from the Issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the Issuer and Innovus on February 14, 2020. The number of Shares received by the Master Fund pursuant to the CVRs was determined by the Issuer through the application of a formula based on the Issuer's achievement of certain revenue and profitability milestones. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported shares of common stock (the "Shares") of Aytu BioPharma, Inc. (the "Issuer") are directly held by Armistice s (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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 (the "Exchange Act"), or for any other purpose.
F2: The reported Shares were acquired by the Master Fund from the Issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the Issuer and Innovus on February 14, 2020. The number of Shares received by the Master Fund pursuant to the CVRs was determined by the Issuer through the application of a formula based on the Issuer's achievement of certain revenue and profitability milestones.
Avalo Therapeutics, Inc.
Report date June 26, 2023 · Filed June 28, 2023
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 731,458 |
Last balance in matching sequence
After 2023-06-27 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2023-06-26 · Sale · Disposed 2,746,138 · Balance 1,668,862 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.50 to $0.7801, inclusive. The Reporting Person undertakes to provide to Avalo Therapeutics, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote and footnote 3. F2: The reported securities of the Issuer are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. Row 2 · 2023-06-27 · Sale · Disposed 937,404 · Balance 731,458 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.4976 to $0.5985, inclusive. F2: The reported securities of the Issuer are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Common StockSEC Table I · non-derivative | Direct | 34,370 |
Reported balance
Holding disclosure · report date 2023-06-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 34,370 F4: These shares are directly owned by Mr. Boyd in his personal capacity. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.50 to $0.7801, inclusive. The Reporting Person undertakes to provide to Avalo Therapeutics, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote and footnote 3.
F2: The reported securities of the Issuer are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.4976 to $0.5985, inclusive.
F4: These shares are directly owned by Mr. Boyd in his personal capacity.
DYNATRONICS CORP
Report date March 21, 2017 · Filed May 24, 2017
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par valueSEC Table I · non-derivative | Direct | 500,000 |
Reported balance
Holding disclosure · report date 2017-03-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 500,000 F1: The reported securities are directly owned by Armistice Capital Master Fund, Ltd. |
| Common Stock, no par valueSEC Table I · non-derivative | IndirectSee Footnote | 500,000 |
Reported balance
Holding disclosure · report date 2017-03-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 500,000 F2: The 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. |
| Common Stock, no par valueSEC Table I · non-derivative | IndirectSee Footnote | 500,000 |
Reported balance
Holding disclosure · report date 2017-03-21 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 500,000 F2: The 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund, Ltd.
F2: The 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.
KIORA PHARMACEUTICALS INC
Report date July 30, 2021 · Filed August 03, 2021
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 785,000 |
Last balance in matching sequence
After 2021-08-02 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-07-30 · Sale · Disposed 68,188 · Balance 977,775 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.6145 to $2.7604, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4. F1: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. Row 2 · 2021-08-02 · Sale · Disposed 192,775 · Balance 785,000 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.3595 to $2.5144, inclusive. F1: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.6145 to $2.7604, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.3595 to $2.5144, inclusive.
SEELOS THERAPEUTICS, INC.
Report date September 20, 2018 · Filed September 27, 2018
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.001SEC Table I · non-derivative | Direct | 4,600,000 |
Reported balance
Holding disclosure · report date 2018-09-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,600,000 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd. |
| Common Stock, par value $.001SEC Table I · non-derivative | IndirectSee Footnote | 4,600,000 |
Reported balance
Holding disclosure · report date 2018-09-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,600,000 F2: The 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. |
| Common Stock, par value $.001SEC Table I · non-derivative | IndirectSee Footnote | 4,600,000 |
Reported balance
Holding disclosure · report date 2018-09-20 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,600,000 F2: The 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. |
| WarrantsSEC Table II · derivative / convertible security · Expires 2024-03-25 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2018-09-20 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F4: The exercise price for each warrant is $0.40 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants. F3: These warrants are currently exercisable, subject to a blocker provision that prevents Armistice Capital Master Fund Ltd. from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise (the "Beneficial Ownership Limitation"). Notwithstanding the foregoing, Armistice Capital Master Fund Ltd. may increase the Beneficial Ownership Limitation by providing notice to the Issuer, and such increase will become effective on the 61st day after such notice being delivered to the Issuer; provided, however, that the Beneficial Ownership Limitation may not be increased so as to result in Armistice Capital Master Fund Ltd. becoming more than a 9.99% beneficial owner of the Common Stock following such exercise. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd. |
| WarrantsSEC Table II · derivative / convertible security · Expires 2024-03-25 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2018-09-20 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance Not disclosed F5: The exercise price for each warrant is $0.30 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants. F3: These warrants are currently exercisable, subject to a blocker provision that prevents Armistice Capital Master Fund Ltd. from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise (the "Beneficial Ownership Limitation"). Notwithstanding the foregoing, Armistice Capital Master Fund Ltd. may increase the Beneficial Ownership Limitation by providing notice to the Issuer, and such increase will become effective on the 61st day after such notice being delivered to the Issuer; provided, however, that the Beneficial Ownership Limitation may not be increased so as to result in Armistice Capital Master Fund Ltd. becoming more than a 9.99% beneficial owner of the Common Stock following such exercise. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd. |
| WarrantsSEC Table II · derivative / convertible security · Expires 2024-03-25 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2018-09-20 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F4: The exercise price for each warrant is $0.40 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants. F3: These warrants are currently exercisable, subject to a blocker provision that prevents Armistice Capital Master Fund Ltd. from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise (the "Beneficial Ownership Limitation"). Notwithstanding the foregoing, Armistice Capital Master Fund Ltd. may increase the Beneficial Ownership Limitation by providing notice to the Issuer, and such increase will become effective on the 61st day after such notice being delivered to the Issuer; provided, however, that the Beneficial Ownership Limitation may not be increased so as to result in Armistice Capital Master Fund Ltd. becoming more than a 9.99% beneficial owner of the Common Stock following such exercise. F2: The 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. |
| WarrantsSEC Table II · derivative / convertible security · Expires 2024-03-25 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2018-09-20 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance Not disclosed F4: The exercise price for each warrant is $0.40 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants. F3: These warrants are currently exercisable, subject to a blocker provision that prevents Armistice Capital Master Fund Ltd. from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise (the "Beneficial Ownership Limitation"). Notwithstanding the foregoing, Armistice Capital Master Fund Ltd. may increase the Beneficial Ownership Limitation by providing notice to the Issuer, and such increase will become effective on the 61st day after such notice being delivered to the Issuer; provided, however, that the Beneficial Ownership Limitation may not be increased so as to result in Armistice Capital Master Fund Ltd. becoming more than a 9.99% beneficial owner of the Common Stock following such exercise. F2: The 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. |
| WarrantsSEC Table II · derivative / convertible security · Expires 2024-03-25 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2018-09-20 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance Not disclosed F5: The exercise price for each warrant is $0.30 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants. F3: These warrants are currently exercisable, subject to a blocker provision that prevents Armistice Capital Master Fund Ltd. from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise (the "Beneficial Ownership Limitation"). Notwithstanding the foregoing, Armistice Capital Master Fund Ltd. may increase the Beneficial Ownership Limitation by providing notice to the Issuer, and such increase will become effective on the 61st day after such notice being delivered to the Issuer; provided, however, that the Beneficial Ownership Limitation may not be increased so as to result in Armistice Capital Master Fund Ltd. becoming more than a 9.99% beneficial owner of the Common Stock following such exercise. F2: The 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. |
| WarrantsSEC Table II · derivative / convertible security · Expires 2024-03-25 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2018-09-20 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance Not disclosed F5: The exercise price for each warrant is $0.30 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants. F3: These warrants are currently exercisable, subject to a blocker provision that prevents Armistice Capital Master Fund Ltd. from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise (the "Beneficial Ownership Limitation"). Notwithstanding the foregoing, Armistice Capital Master Fund Ltd. may increase the Beneficial Ownership Limitation by providing notice to the Issuer, and such increase will become effective on the 61st day after such notice being delivered to the Issuer; provided, however, that the Beneficial Ownership Limitation may not be increased so as to result in Armistice Capital Master Fund Ltd. becoming more than a 9.99% beneficial owner of the Common Stock following such exercise. F2: The 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd.
F2: The 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.
F3: These warrants are currently exercisable, subject to a blocker provision that prevents Armistice Capital Master Fund Ltd. from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise (the "Beneficial Ownership Limitation"). Notwithstanding the foregoing, Armistice Capital Master Fund Ltd. may increase the Beneficial Ownership Limitation by providing notice to the Issuer, and such increase will become effective on the 61st day after such notice being delivered to the Issuer; provided, however, that the Beneficial Ownership Limitation may not be increased so as to result in Armistice Capital Master Fund Ltd. becoming more than a 9.99% beneficial owner of the Common Stock following such exercise.
F4: The exercise price for each warrant is $0.40 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants.
F5: The exercise price for each warrant is $0.30 per share of Common Stock, subject to adjustment pursuant to the terms of the warrants.
TENAX THERAPEUTICS, INC.
Report date May 18, 2022 · Filed May 20, 2022
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2027-01-08 | IndirectSee footnote | 0 |
Reported balance
After 2022-05-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-05-18 · Disposition to issuer · Disposed 4,773,269 · Balance 0 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F2: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the outstanding shares of the Issuer's common stock (collectively, the "Shares") following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.63 · Expires 2029-01-08 | IndirectSee footnote | 4,773,269 |
Reported balance
After 2022-05-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-05-18 · Grant · Acquired 4,773,269 · Balance 4,773,269 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F2: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the outstanding shares of the Issuer's common stock (collectively, the "Shares") following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series B Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2026-01-08 | IndirectSee footnote | 0 |
Reported balance
After 2022-05-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-05-18 · Disposition to issuer · Disposed 3,175,924 · Balance 0 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series B Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2028-01-08 | IndirectSee footnote | 3,175,924 |
Reported balance
After 2022-05-18 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-05-18 · Grant · Acquired 3,175,924 · Balance 3,175,924 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series C Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2026-01-08 | IndirectSee footnote | 0 |
Reported balance
After 2022-05-18 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-05-18 · Disposition to issuer · Disposed 4,607,692 · Balance 0 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series C Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2028-01-08 | IndirectSee footnote | 4,607,692 |
Reported balance
After 2022-05-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-05-18 · Grant · Acquired 4,607,692 · Balance 4,607,692 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series C Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.63 | IndirectSee footnote | 10,596,027 |
Reported balance
After 2022-05-18 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2022-05-18 · Grant · Acquired 10,596,027 · Balance 10,596,027 F5: The Master Fund purchased 10,596,027 units of the securities of the Issuer directly from the Issuer in a private placement transaction that closed on May 19, 2022. Each Unit consists of (i) 1 pre-funded warrant to purchase one share of common stock of the Issuer (a "Pre-Funded Warrant") for an exercise price of $0.0001, subject to customary adjustments, and (ii) 1 Series E Warrant to purchase one share of common stock of the Issuer (a "Series E Warrant", and together with the Pre-Funded Warrants, the "Warrants") for an exercise price of $0.63, subject to customary adjustments. The aggregate purchase price for the 10,596,027 Units was approximately $8.0 million. The Pre-Funded Warrants were immediately exercisable upon issuance and expire when they are fully exercised. The Series E Warrants were immediately exercisable upon issuance and expire five and one half years following the date of issuance. F6: (Continued from Footnote 5) The Warrants are subject to a limitation on exercise pursuant to which the Master Fund may not exercise the Warrants if such exercise would result in the Master Fund, together with the Master Fund's affiliates and any person acting as a group together with the Master Fund or any of the Master Fund's affiliates, beneficially owning greater than 9.99% of the number of shares of common stock outstanding immediately after giving effect to the issuance of shares of common stock upon exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.04 · Expires 2025-09-15 | IndirectSee footnote | 0 |
Reported balance
After 2022-05-18 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-05-18 · Disposition to issuer · Disposed 2,360,313 · Balance 0 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F2: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the outstanding shares of the Issuer's common stock (collectively, the "Shares") following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.63 · Expires 2027-09-15 | IndirectSee footnote | 2,360,313 |
Reported balance
After 2022-05-18 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-05-18 · Grant · Acquired 2,360,313 · Balance 2,360,313 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F2: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the outstanding shares of the Issuer's common stock (collectively, the "Shares") following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.93 · Expires 2020-12-11 | IndirectSee footnote | 0 |
Reported balance
After 2022-05-18 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-05-18 · Disposition to issuer · Disposed 2,072,538 · Balance 0 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F2: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the outstanding shares of the Issuer's common stock (collectively, the "Shares") following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.63 · Expires 2025-12-11 | IndirectSee footnote | 2,072,538 |
Reported balance
After 2022-05-18 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-05-18 · Grant · Acquired 2,072,538 · Balance 2,072,538 F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. F2: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the outstanding shares of the Issuer's common stock (collectively, the "Shares") following such exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Pre-Funded Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 10,596,027 |
Reported balance
After 2022-05-18 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-05-18 · Grant · Acquired 10,596,027 · Balance 10,596,027 F5: The Master Fund purchased 10,596,027 units of the securities of the Issuer directly from the Issuer in a private placement transaction that closed on May 19, 2022. Each Unit consists of (i) 1 pre-funded warrant to purchase one share of common stock of the Issuer (a "Pre-Funded Warrant") for an exercise price of $0.0001, subject to customary adjustments, and (ii) 1 Series E Warrant to purchase one share of common stock of the Issuer (a "Series E Warrant", and together with the Pre-Funded Warrants, the "Warrants") for an exercise price of $0.63, subject to customary adjustments. The aggregate purchase price for the 10,596,027 Units was approximately $8.0 million. The Pre-Funded Warrants were immediately exercisable upon issuance and expire when they are fully exercised. The Series E Warrants were immediately exercisable upon issuance and expire five and one half years following the date of issuance. F6: (Continued from Footnote 5) The Warrants are subject to a limitation on exercise pursuant to which the Master Fund may not exercise the Warrants if such exercise would result in the Master Fund, together with the Master Fund's affiliates and any person acting as a group together with the Master Fund or any of the Master Fund's affiliates, beneficially owning greater than 9.99% of the number of shares of common stock outstanding immediately after giving effect to the issuance of shares of common stock upon exercise. F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
Filing footnotes · ownership attribution and instrument terms
F1: On May 17, 2022, the Issuer entered into a warrant amendment agreement with the Master Fund, as defined below, pursuant to which the Issuer agreed to amend certain previously issued warrants held by the Master Fund in a transaction that was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.
F2: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the outstanding shares of the Issuer's common stock (collectively, the "Shares") following such exercise.
F3: The reported securities of Tenax Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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.
F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise.
F5: The Master Fund purchased 10,596,027 units of the securities of the Issuer directly from the Issuer in a private placement transaction that closed on May 19, 2022. Each Unit consists of (i) 1 pre-funded warrant to purchase one share of common stock of the Issuer (a "Pre-Funded Warrant") for an exercise price of $0.0001, subject to customary adjustments, and (ii) 1 Series E Warrant to purchase one share of common stock of the Issuer (a "Series E Warrant", and together with the Pre-Funded Warrants, the "Warrants") for an exercise price of $0.63, subject to customary adjustments. The aggregate purchase price for the 10,596,027 Units was approximately $8.0 million. The Pre-Funded Warrants were immediately exercisable upon issuance and expire when they are fully exercised. The Series E Warrants were immediately exercisable upon issuance and expire five and one half years following the date of issuance.
F6: (Continued from Footnote 5) The Warrants are subject to a limitation on exercise pursuant to which the Master Fund may not exercise the Warrants if such exercise would result in the Master Fund, together with the Master Fund's affiliates and any person acting as a group together with the Master Fund or any of the Master Fund's affiliates, beneficially owning greater than 9.99% of the number of shares of common stock outstanding immediately after giving effect to the issuance of shares of common stock upon exercise.
Vaxart, Inc.
Report date June 26, 2020 · Filed June 30, 2020
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 145,523 |
Last balance in matching sequence
After 2020-06-29 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2020-06-26 · Other · Acquired 16,666,667 · Balance 23,666,667 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Row 3 · 2020-06-26 · Sale · Disposed 18,226,667 · Balance 5,440,000 F2: This constitutes the weighted average sale price. The prices ranged from $7.97 to $12.89. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Row 5 · 2020-06-29 · Other · Acquired 4,090,909 · Balance 9,530,909 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Row 7 · 2020-06-29 · Sale · Disposed 9,385,386 · Balance 145,523 F3: This constitutes the weighted average sale price. The prices ranged from $6.58 to $9.90. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 23,666,667 |
Reported balance
After 2020-06-26 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-06-26 · Other · Acquired 0 · Balance 23,666,667 |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 5,440,000 |
Reported balance
After 2020-06-26 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-06-26 · Sale · Disposed 0 · Balance 5,440,000 |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 9,530,909 |
Reported balance
After 2020-06-29 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2020-06-29 · Other · Acquired 0 · Balance 9,530,909 |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 145,523 |
Reported balance
After 2020-06-29 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2020-06-29 · Sale · Disposed 0 · Balance 145,523 |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.30 · Expires 2024-09-26 | Direct | 0 |
Reported balance
After 2020-06-26 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-06-26 · Other · Disposed 16,666,667 · Balance 0 F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.10 · Expires 2024-04-09 | Direct | 0 |
Reported balance
After 2020-06-29 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-06-29 · Other · Disposed 4,090,909 · Balance 0 F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.30 · Expires 2024-09-26 | IndirectSee Footnote 1 | 0 |
Reported balance
After 2020-06-26 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-06-26 · Other · Disposed 0 · Balance 0 F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.10 · Expires 2024-04-09 | IndirectSee Footnote 1 | 0 |
Reported balance
After 2020-06-29 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-06-29 · Other · Disposed 0 · Balance 0 F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F2: This constitutes the weighted average sale price. The prices ranged from $7.97 to $12.89. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F3: This constitutes the weighted average sale price. The prices ranged from $6.58 to $9.90. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F4: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 19.99% beneficial owner of the Shares following such exercise.
Past disclosures · reporting ended (12)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ACHIEVE LIFE SCIENCES, INC.
Report date June 11, 2019 · Filed June 13, 2019
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2019-06-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 796,594 |
Last balance in matching sequence
After 2019-06-11 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-06-11 · Sale · Disposed 2,200 · Balance 841,576 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Row 3 · 2019-06-11 · Sale · Disposed 44,982 · Balance 796,594 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 841,576 |
Reported balance
After 2019-06-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-06-11 · Sale · Disposed 0 · Balance 841,576 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 796,594 |
Reported balance
After 2019-06-11 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-06-11 · Sale · Disposed 0 · Balance 796,594 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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.
BIO-PATH HOLDINGS, INC.
Report date January 18, 2019 · Filed January 23, 2019
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2019-01-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 129,298 |
Reported balance
After 2019-01-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-01-18 · Sale · Disposed 64,457 · Balance 129,298 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"). |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 129,298 |
Last balance in matching sequence
After 2019-01-18 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2019-01-18 · Sale · Disposed 0 · Balance 129,298 F2: The reported securities are directly owned by the Master Fund, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Row 3 · 2019-01-18 · Sale · Disposed 0 · Balance 129,298 F2: The reported securities are directly owned by the Master Fund, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund").
F2: The reported securities are directly owned by the Master Fund, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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.
Cyclo Therapeutics, Inc.
Report date September 29, 2020 · Filed October 01, 2020
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2020-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,795,769 |
Last balance in matching sequence
After 2020-09-30 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-09-29 · Sale · Disposed 5,000 · Balance 15,801,269 F1: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the 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 interests 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. Row 3 · 2020-09-30 · Sale · Disposed 5,500 · Balance 15,795,769 F1: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the 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 interests 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 15,801,269 |
Reported balance
After 2020-09-29 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-09-29 · Sale · Disposed 0 · Balance 15,801,269 F1: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the 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 interests 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 15,795,769 |
Reported balance
After 2020-09-30 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-09-30 · Sale · Disposed 0 · Balance 15,795,769 F1: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the 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 interests 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the 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 interests 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.
Del Frisco's Restaurant Group, Inc.
Report date September 25, 2019 · Filed October 02, 2019
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2019-10-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-09-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-09-25 · Other · Disposed 6,125,000 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and L Catterton that became effective on September 25, 2019 (the "Merger"). Pursuant to the Merger, each shareholder of the Issuer received $8.00 per share of the Issuer's Common Stock held by it. F2: The reported securities were directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to have been indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim having beneficially owned the reported securities except to the extent of their respective prior pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-09-25 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-09-25 · Other · Disposed 0 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and L Catterton that became effective on September 25, 2019 (the "Merger"). Pursuant to the Merger, each shareholder of the Issuer received $8.00 per share of the Issuer's Common Stock held by it. F2: The reported securities were directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to have been indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim having beneficially owned the reported securities except to the extent of their respective prior pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-09-25 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-09-25 · Other · Disposed 400,000 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and L Catterton that became effective on September 25, 2019 (the "Merger"). Pursuant to the Merger, each shareholder of the Issuer received $8.00 per share of the Issuer's Common Stock held by it. F3: The reported securities were directly owned by a separately managed account client of Armistice Capital, and may have been deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. The reported securities may also have been deemed to have been indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim having beneficially owned the reported securities except to the extent of their respective prior pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities were disposed of pursuant to a merger between the Issuer and L Catterton that became effective on September 25, 2019 (the "Merger"). Pursuant to the Merger, each shareholder of the Issuer received $8.00 per share of the Issuer's Common Stock held by it.
F2: The reported securities were directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to have been indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim having beneficially owned the reported securities except to the extent of their respective prior pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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.
F3: The reported securities were directly owned by a separately managed account client of Armistice Capital, and may have been deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. The reported securities may also have been deemed to have been indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim having beneficially owned the reported securities except to the extent of their respective prior pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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.
FILANA THERAPEUTICS, INC.
Report date October 03, 2018 · Filed October 05, 2018
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2018-10-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,651,340 |
Reported balance
After 2018-10-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-10-03 · Sale · Disposed 512,660 · Balance 1,651,340 F3: This constitutes the weighted average sale price. The prices range from $1.2386 to $1.3671. 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 sold at each separate price. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Last balance in matching sequence
After 2018-10-03 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2018-10-03 · Sale · Disposed 0 · Balance 0 F2: The 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. Row 3 · 2018-10-03 · Sale · Disposed 0 · Balance 0 F2: The 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd.
F2: The 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.
F3: This constitutes the weighted average sale price. The prices range from $1.2386 to $1.3671. 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 sold at each separate price.
Fresh Tracks Therapeutics, Inc.
Report date January 10, 2019 · Filed January 14, 2019
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2019-01-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,170,000 |
Reported balance
After 2019-01-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-01-10 · Sale · Disposed 2,190,500 · Balance 2,170,000 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"). |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,170,000 |
Last balance in matching sequence
After 2019-01-10 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2019-01-10 · Sale · Disposed 0 · Balance 2,170,000 F2: The reported securities are directly owned by the Master Fund, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Row 3 · 2019-01-10 · Sale · Disposed 0 · Balance 2,170,000 F2: The reported securities are directly owned by the Master Fund, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund").
F2: The reported securities are directly owned by the Master Fund, and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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.
INNOVUS PHARMACEUTICALS, INC.
Report date February 14, 2020 · Filed February 20, 2020
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2020-02-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-02-14 · Other · Disposed 300,000 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and Aytu Bioscience, Inc. ("Aytu") that became effective on February 14, 2020 (the "Merger"). As the holder of 300,000 shares of the Issuer's common stock (collectively, the "Shares") on the effective date of the Merger, Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), received pursuant to the Merger: (i) 335,279 shares of Aytu's common stock; (ii) cash in lieu of the issuance of fractional shares; and (iii) 300,000 non-transferable contingent value rights representing the right to receive certain payments in the form of additional shares of Aytu's common stock and/or cash if specified revenue and profitability milestones are achieved. On the effective date of the Merger, the closing price of the Shares was $1.23 per Share, and the closing price of Aytu's common stock was $0.79 per share. F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-02-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-02-14 · Other · Disposed 0 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and Aytu Bioscience, Inc. ("Aytu") that became effective on February 14, 2020 (the "Merger"). As the holder of 300,000 shares of the Issuer's common stock (collectively, the "Shares") on the effective date of the Merger, Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), received pursuant to the Merger: (i) 335,279 shares of Aytu's common stock; (ii) cash in lieu of the issuance of fractional shares; and (iii) 300,000 non-transferable contingent value rights representing the right to receive certain payments in the form of additional shares of Aytu's common stock and/or cash if specified revenue and profitability milestones are achieved. On the effective date of the Merger, the closing price of the Shares was $1.23 per Share, and the closing price of Aytu's common stock was $0.79 per share. |
| Series A Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $15.75 · Expires 2022-03-21 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-02-14 · Other · Disposed 76,190 · Balance 0 F6: These warrants became warrants to purchase shares of Aytu's common stock as of the effective date of the Merger. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series A Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $15.75 · Expires 2022-03-21 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-02-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-02-14 · Other · Disposed 0 · Balance 0 F6: These warrants became warrants to purchase shares of Aytu's common stock as of the effective date of the Merger. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. |
| Series A WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $7.35 · Expires 2020-09-18 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-14 · Other · Disposed 431,489 · Balance 0 F3: Prior to the Merger, the Master Fund was the holder of these warrants of the Issuer (collectively, the "Warrants") and was entitled to receive from Aytu a cash payment for those Warrants in connection with the Merger. On February 14, 2020, the Master Fund, the Issuer and Aytu entered into a warrant exchange agreement pursuant to which the Master Fund agreed to exchange its Warrants for 1,918,587 shares of Aytu's series H convertible preferred stock. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series A WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $7.35 · Expires 2020-09-18 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-02-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-02-14 · Other · Disposed 0 · Balance 0 F3: Prior to the Merger, the Master Fund was the holder of these warrants of the Issuer (collectively, the "Warrants") and was entitled to receive from Aytu a cash payment for those Warrants in connection with the Merger. On February 14, 2020, the Master Fund, the Issuer and Aytu entered into a warrant exchange agreement pursuant to which the Master Fund agreed to exchange its Warrants for 1,918,587 shares of Aytu's series H convertible preferred stock. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. |
| Series B WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.40 · Expires 2024-09-18 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-02-14 · Other · Disposed 431,489 · Balance 0 F3: Prior to the Merger, the Master Fund was the holder of these warrants of the Issuer (collectively, the "Warrants") and was entitled to receive from Aytu a cash payment for those Warrants in connection with the Merger. On February 14, 2020, the Master Fund, the Issuer and Aytu entered into a warrant exchange agreement pursuant to which the Master Fund agreed to exchange its Warrants for 1,918,587 shares of Aytu's series H convertible preferred stock. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series B WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.40 · Expires 2024-09-18 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-02-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-02-14 · Other · Disposed 0 · Balance 0 F3: Prior to the Merger, the Master Fund was the holder of these warrants of the Issuer (collectively, the "Warrants") and was entitled to receive from Aytu a cash payment for those Warrants in connection with the Merger. On February 14, 2020, the Master Fund, the Issuer and Aytu entered into a warrant exchange agreement pursuant to which the Master Fund agreed to exchange its Warrants for 1,918,587 shares of Aytu's series H convertible preferred stock. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. |
| Series C Prefunded WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-02-14 · Other · Disposed 200,637 · Balance 0 F3: Prior to the Merger, the Master Fund was the holder of these warrants of the Issuer (collectively, the "Warrants") and was entitled to receive from Aytu a cash payment for those Warrants in connection with the Merger. On February 14, 2020, the Master Fund, the Issuer and Aytu entered into a warrant exchange agreement pursuant to which the Master Fund agreed to exchange its Warrants for 1,918,587 shares of Aytu's series H convertible preferred stock. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. F5: These warrants do not have an expiration date. F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series C Prefunded WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-02-14 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-02-14 · Other · Disposed 0 · Balance 0 F3: Prior to the Merger, the Master Fund was the holder of these warrants of the Issuer (collectively, the "Warrants") and was entitled to receive from Aytu a cash payment for those Warrants in connection with the Merger. On February 14, 2020, the Master Fund, the Issuer and Aytu entered into a warrant exchange agreement pursuant to which the Master Fund agreed to exchange its Warrants for 1,918,587 shares of Aytu's series H convertible preferred stock. F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise. F5: These warrants do not have an expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities were disposed of pursuant to a merger between the Issuer and Aytu Bioscience, Inc. ("Aytu") that became effective on February 14, 2020 (the "Merger"). As the holder of 300,000 shares of the Issuer's common stock (collectively, the "Shares") on the effective date of the Merger, Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), received pursuant to the Merger: (i) 335,279 shares of Aytu's common stock; (ii) cash in lieu of the issuance of fractional shares; and (iii) 300,000 non-transferable contingent value rights representing the right to receive certain payments in the form of additional shares of Aytu's common stock and/or cash if specified revenue and profitability milestones are achieved. On the effective date of the Merger, the closing price of the Shares was $1.23 per Share, and the closing price of Aytu's common stock was $0.79 per share.
F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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.
F3: Prior to the Merger, the Master Fund was the holder of these warrants of the Issuer (collectively, the "Warrants") and was entitled to receive from Aytu a cash payment for those Warrants in connection with the Merger. On February 14, 2020, the Master Fund, the Issuer and Aytu entered into a warrant exchange agreement pursuant to which the Master Fund agreed to exchange its Warrants for 1,918,587 shares of Aytu's series H convertible preferred stock.
F4: These Warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Shares following such exercise.
F5: These warrants do not have an expiration date.
F6: These warrants became warrants to purchase shares of Aytu's common stock as of the effective date of the Merger.
ReShape Weightloss Inc.
Report date June 15, 2021 · Filed June 22, 2021
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2021-06-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-06-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-06-15 · Other · Disposed 5,330,277 · Balance 0 F1: These reported securities were disposed of pursuant to a merger between the Issuer, Obalon Therapeutics, Inc. ("Obalon") and Optimus Merger Sub, a wholly owned subsidiary of Obalon ("Merger Sub") that became effective on June 15, 2021 (the "Merger"). As a result of the Merger, Obalon was renamed ReShape Lifesciences Inc. ("Combined Company") and all of the reported securities were converted into securities of the Combined Company pursuant to the conversion ratio and all other terms contained in the Agreement and Plan of Merger, dated as of January 19, 2021, by and among the Issuer, Obalon, and Merger Sub (incorporated by reference to Exhibit 2.1 the Form 8-K filed by the Issuer with the SEC on June 15, 2021) (the "Merger Agreement"). F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-06-15 · Other · Disposed 0 · Balance 0 F1: These reported securities were disposed of pursuant to a merger between the Issuer, Obalon Therapeutics, Inc. ("Obalon") and Optimus Merger Sub, a wholly owned subsidiary of Obalon ("Merger Sub") that became effective on June 15, 2021 (the "Merger"). As a result of the Merger, Obalon was renamed ReShape Lifesciences Inc. ("Combined Company") and all of the reported securities were converted into securities of the Combined Company pursuant to the conversion ratio and all other terms contained in the Agreement and Plan of Merger, dated as of January 19, 2021, by and among the Issuer, Obalon, and Merger Sub (incorporated by reference to Exhibit 2.1 the Form 8-K filed by the Issuer with the SEC on June 15, 2021) (the "Merger Agreement"). F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.02 · Expires 2024-11-12 | Direct | 0 |
Reported balance
After 2021-06-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-15 · Other · Disposed 2,625,000 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.02 · Expires 2024-11-12 | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-06-15 · Other · Disposed 0 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series E WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2024-11-12 | Direct | 0 |
Reported balance
After 2021-06-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-06-15 · Other · Disposed 2,625,000 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series E WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2024-11-12 | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-15 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-06-15 · Other · Disposed 0 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series G WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.25 · Expires 2025-09-14 | Direct | 0 |
Reported balance
After 2021-06-15 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-06-15 · Other · Disposed 1,200,000 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series G WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.70 · Expires 2025-03-25 | Direct | 0 |
Reported balance
After 2021-06-15 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-06-15 · Other · Disposed 1,200,000 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series G WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.25 · Expires 2025-09-14 | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-15 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-06-15 · Other · Disposed 0 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Series G WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.70 · Expires 2025-03-25 | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-15 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-06-15 · Other · Disposed 0 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $3.50 · Expires 2025-12-16 | Direct | 0 |
Reported balance
After 2021-06-15 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-06-15 · Other · Disposed 4,000,000 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $3.50 · Expires 2026-01-19 | Direct | 0 |
Reported balance
After 2021-06-15 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-06-15 · Other · Disposed 1,000,000 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $3.50 · Expires 2025-12-16 | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-15 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2021-06-15 · Other · Disposed 0 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $3.50 · Expires 2026-01-19 | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-15 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-06-15 · Other · Disposed 0 · Balance 0 F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement. F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These reported securities were disposed of pursuant to a merger between the Issuer, Obalon Therapeutics, Inc. ("Obalon") and Optimus Merger Sub, a wholly owned subsidiary of Obalon ("Merger Sub") that became effective on June 15, 2021 (the "Merger"). As a result of the Merger, Obalon was renamed ReShape Lifesciences Inc. ("Combined Company") and all of the reported securities were converted into securities of the Combined Company pursuant to the conversion ratio and all other terms contained in the Agreement and Plan of Merger, dated as of January 19, 2021, by and among the Issuer, Obalon, and Merger Sub (incorporated by reference to Exhibit 2.1 the Form 8-K filed by the Issuer with the SEC on June 15, 2021) (the "Merger Agreement").
F2: The reported securities were directly held by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Mr. Boyd disclaim beneficial ownership of the disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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.
F3: These warrants became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement.
F4: These warrants are currently exercisable and became warrants to purchase shares of Combined Company's common stock as of the effective date of the Merger pursuant to the conversion ratio and all other terms of the Merger Agreement.
TETRAPHASE PHARMACEUTICALS INC
Report date July 28, 2020 · Filed July 31, 2020
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2020-07-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-07-28 · Other · Disposed 1,419,507 · Balance 0 F1: These shares of the Issuer's common stock, $0.001 par value (collectively, the "Shares"), were disposed of pursuant to a merger between the Issuer and La Jolla Pharmaceutical Company ("La Jolla") that became effective on July 28, 2020 (the "Merger"). As the holder of 1,419,507 Shares on the effective date of the Merger, Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $2.00 per Share (i.e., $2,839,014); and (ii) 1,419,507 contingent value rights entitled to receive future cash payments from La Jolla if U.S. net sales of XERAVA(TM) achieve certain specified benchmarks ("CVRs"). F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-07-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-07-28 · Other · Disposed 0 · Balance 0 F1: These shares of the Issuer's common stock, $0.001 par value (collectively, the "Shares"), were disposed of pursuant to a merger between the Issuer and La Jolla Pharmaceutical Company ("La Jolla") that became effective on July 28, 2020 (the "Merger"). As the holder of 1,419,507 Shares on the effective date of the Merger, Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $2.00 per Share (i.e., $2,839,014); and (ii) 1,419,507 contingent value rights entitled to receive future cash payments from La Jolla if U.S. net sales of XERAVA(TM) achieve certain specified benchmarks ("CVRs"). |
| Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-07-28 · Other · Disposed 1,430,493 · Balance 0 F3: These pre-funded warrants of the Issuer (collectively, the "November Pre-Funded Warrants") were disposed of pursuant to the Merger. As the holder of 1,430,493 November Pre-Funded Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $1.99 per underlying Share (i.e., $2,846,681.07); and (ii) 1,423,341 CVRs. F7: These warrants do not expire. F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-28 · Other · Disposed 2,063,334 · Balance 0 F4: These pre-funded warrants of the Issuer (collectively, the "January Pre-Funded Warrants") were disposed of pursuant to the Merger. As the holder of 2,063,334 January Pre-Funded Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $1.999 per underlying Share (i.e., $4,124,604.67); and (ii) 2,062,302 CVRs. F7: These warrants do not expire. F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-07-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-28 · Other · Disposed 0 · Balance 0 F3: These pre-funded warrants of the Issuer (collectively, the "November Pre-Funded Warrants") were disposed of pursuant to the Merger. As the holder of 1,430,493 November Pre-Funded Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $1.99 per underlying Share (i.e., $2,846,681.07); and (ii) 1,423,341 CVRs. F7: These warrants do not expire. |
| Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-07-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-07-28 · Other · Disposed 0 · Balance 0 F4: These pre-funded warrants of the Issuer (collectively, the "January Pre-Funded Warrants") were disposed of pursuant to the Merger. As the holder of 2,063,334 January Pre-Funded Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $1.999 per underlying Share (i.e., $4,124,604.67); and (ii) 2,062,302 CVRs. F7: These warrants do not expire. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.62 · Expires 2024-11-01 | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-07-28 · Other · Disposed 2,130,493 · Balance 0 F5: These warrants of the Issuer (collectively, the "November Warrants") were disposed of pursuant to the Merger. As the holder of 2,130,493 November Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger an upfront cash payment in an amount equal to $2.68 per underlying Share (i.e., $5,709,721.24). F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $2.87 · Expires 2025-01-24 | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-07-28 · Other · Disposed 3,333,334 · Balance 0 F6: These warrants of the Issuer (collectively, the "January Warrants") were disposed of pursuant to the Merger. As the holder of 3,333,334 January Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger an upfront cash payment in an amount equal to $2.69 per underlying Share (i.e., $8,966,668.46). F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.62 · Expires 2024-11-01 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-07-28 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-07-28 · Other · Disposed 0 · Balance 0 F5: These warrants of the Issuer (collectively, the "November Warrants") were disposed of pursuant to the Merger. As the holder of 2,130,493 November Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger an upfront cash payment in an amount equal to $2.68 per underlying Share (i.e., $5,709,721.24). |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $2.87 · Expires 2025-01-24 | IndirectSee Footnote 2 | 0 |
Reported balance
After 2020-07-28 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-07-28 · Other · Disposed 0 · Balance 0 F6: These warrants of the Issuer (collectively, the "January Warrants") were disposed of pursuant to the Merger. As the holder of 3,333,334 January Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger an upfront cash payment in an amount equal to $2.69 per underlying Share (i.e., $8,966,668.46). |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of the Issuer's common stock, $0.001 par value (collectively, the "Shares"), were disposed of pursuant to a merger between the Issuer and La Jolla Pharmaceutical Company ("La Jolla") that became effective on July 28, 2020 (the "Merger"). As the holder of 1,419,507 Shares on the effective date of the Merger, Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $2.00 per Share (i.e., $2,839,014); and (ii) 1,419,507 contingent value rights entitled to receive future cash payments from La Jolla if U.S. net sales of XERAVA(TM) achieve certain specified benchmarks ("CVRs").
F2: The reported securities were directly owned by the Master Fund. The reported securities may have been deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also have been 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 disposed securities except to the extent of their respective former pecuniary interests therein, and this report shall not be deemed an admission that either of them were 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.
F3: These pre-funded warrants of the Issuer (collectively, the "November Pre-Funded Warrants") were disposed of pursuant to the Merger. As the holder of 1,430,493 November Pre-Funded Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $1.99 per underlying Share (i.e., $2,846,681.07); and (ii) 1,423,341 CVRs.
F4: These pre-funded warrants of the Issuer (collectively, the "January Pre-Funded Warrants") were disposed of pursuant to the Merger. As the holder of 2,063,334 January Pre-Funded Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger: (i) an upfront cash payment in an amount equal to $1.999 per underlying Share (i.e., $4,124,604.67); and (ii) 2,062,302 CVRs.
F5: These warrants of the Issuer (collectively, the "November Warrants") were disposed of pursuant to the Merger. As the holder of 2,130,493 November Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger an upfront cash payment in an amount equal to $2.68 per underlying Share (i.e., $5,709,721.24).
F6: These warrants of the Issuer (collectively, the "January Warrants") were disposed of pursuant to the Merger. As the holder of 3,333,334 January Warrants on the effective date of the Merger, the Master Fund received pursuant to the Merger an upfront cash payment in an amount equal to $2.69 per underlying Share (i.e., $8,966,668.46).
F7: These warrants do not expire.
Traws Pharma, Inc.
Report date September 23, 2019 · Filed September 25, 2019
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2019-09-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 816,702 |
Reported balance
After 2019-09-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-09-23 · Sale · Disposed 10,249 · Balance 816,702 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 816,702 |
Reported balance
After 2019-09-23 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-09-23 · Sale · Disposed 0 · Balance 816,702 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. 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.
Valeritas Holdings Inc.
Report date December 20, 2019 · Filed December 23, 2019
Jointly reported with Armistice Capital Master Fund Ltd., Boyd Steven
Section 16 reporting ended · disclosed 2019-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-12-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-12-20 · Sale · Disposed 1,060,000 · Balance 0 F2: This constitutes the weighted average sale price. The prices range from $0.65 to $1.00. 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 sold at each separate price. F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-12-20 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-12-20 · Sale · Disposed 0 · Balance 0 F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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.
F2: This constitutes the weighted average sale price. The prices range from $0.65 to $1.00. 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 sold at each separate price.
Vyome Holdings, Inc
Report date June 28, 2021 · Filed June 30, 2021
Jointly reported with Boyd Steven
Section 16 reporting ended · disclosed 2021-06-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,223,346 |
Last balance in matching sequence
After 2021-06-28 transaction · row 11
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2021-06-28 · Other · Acquired 1,479,713 · Balance 1,572,253 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. Row 3 · 2021-06-28 · Other · Acquired 1,479,713 · Balance 3,051,966 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. Row 5 · 2021-06-28 · Other · Acquired 676,440 · Balance 3,728,406 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. Row 7 · 2021-06-28 · Other · Acquired 676,440 · Balance 4,404,846 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. Row 9 · 2021-06-28 · Other · Acquired 2,254,800 · Balance 6,659,646 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. Row 11 · 2021-06-28 · Other · Acquired 563,700 · Balance 7,223,346 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 1,572,253 |
Reported balance
After 2021-06-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-06-28 · Other · Acquired 0 · Balance 1,572,253 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 3,051,966 |
Reported balance
After 2021-06-28 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-06-28 · Other · Acquired 0 · Balance 3,051,966 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 3,728,406 |
Reported balance
After 2021-06-28 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2021-06-28 · Other · Acquired 0 · Balance 3,728,406 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 4,404,846 |
Reported balance
After 2021-06-28 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2021-06-28 · Other · Acquired 0 · Balance 4,404,846 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 6,659,646 |
Reported balance
After 2021-06-28 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2021-06-28 · Other · Acquired 0 · Balance 6,659,646 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote 1 | 7,223,346 |
Reported balance
After 2021-06-28 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2021-06-28 · Other · Acquired 0 · Balance 7,223,346 F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Series A WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-28 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-06-28 · Other · Disposed 1,479,713 · Balance 0 F4: The terms of these Series A Warrants are substantially similar to the Series A Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to ReShape Weightloss Inc. (then-named Reshape Lifesciences Inc.) ("Pre-Merger ReShape"), as modified by the Agreement and Plan of Merger, dated as of January 19, 2021, by and among the Issuer, Optimus Merger Sub, Inc., and Pre-Merger ReShape (incorporated by reference to Exhibit 2.1 the Form 8-K filed by Pre-Merger ReShape with the SEC on June 15, 2021) (the "Merger Agreement"). F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series A WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote 1 | 0 |
Reported balance
After 2021-06-28 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-06-28 · Other · Disposed 0 · Balance 0 F4: The terms of these Series A Warrants are substantially similar to the Series A Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to ReShape Weightloss Inc. (then-named Reshape Lifesciences Inc.) ("Pre-Merger ReShape"), as modified by the Agreement and Plan of Merger, dated as of January 19, 2021, by and among the Issuer, Optimus Merger Sub, Inc., and Pre-Merger ReShape (incorporated by reference to Exhibit 2.1 the Form 8-K filed by Pre-Merger ReShape with the SEC on June 15, 2021) (the "Merger Agreement"). F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Series E WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-28 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2021-06-28 · Other · Disposed 1,479,713 · Balance 0 F5: The terms of these Series E Warrants are substantially similar to the Series E Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series E WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote 1 | 0 |
Reported balance
After 2021-06-28 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2021-06-28 · Other · Disposed 0 · Balance 0 F5: The terms of these Series E Warrants are substantially similar to the Series E Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Series G WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-28 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2021-06-28 · Other · Disposed 676,440 · Balance 0 F6: The terms of these Series G Warrants are substantially similar to the New Series G Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series G WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-28 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2021-06-28 · Other · Disposed 676,440 · Balance 0 F7: The terms of these Series G Warrants ("Additional Series G Warrants") are substantially similar to the Existing Series G Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| Series G WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote 1 | 0 |
Reported balance
After 2021-06-28 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2021-06-28 · Other · Disposed 0 · Balance 0 F6: The terms of these Series G Warrants are substantially similar to the New Series G Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| Series G WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote 1 | 0 |
Reported balance
After 2021-06-28 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2021-06-28 · Other · Disposed 0 · Balance 0 F7: The terms of these Series G Warrants ("Additional Series G Warrants") are substantially similar to the Existing Series G Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| WarrantSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-28 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2021-06-28 · Other · Disposed 2,254,800 · Balance 0 F8: The terms of this Warrant are substantially similar to the terms of the Additional Series G Warrants, as modified by the Third Amendment to Credit Agreement, dated December 16, 2020 by and between Pre-Merger ReShape and the Master Fund (incorporated by reference to Exhibit 10.1 to the Form 8-K filed by Pre-Merger ReShape with the SEC on December 22, 2020) and the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| WarrantSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-28 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2021-06-28 · Other · Disposed 563,700 · Balance 0 F9: The terms of this Warrant are substantially similar to the terms of the Additional Series G Warrants, as modified by the Fourth Amendment to Credit Agreement, dated January 19, 2021 by and between Pre-Merger ReShape and the Master Fund (incorporated by reference to Exhibit 10.3 to the Form 8-K filed by Pre-Merger ReShape with the SEC on January 20, 2021) and the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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. |
| WarrantSEC Table II · derivative / convertible security | IndirectSee Footnote 1 | 0 |
Reported balance
After 2021-06-28 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2021-06-28 · Other · Disposed 0 · Balance 0 F8: The terms of this Warrant are substantially similar to the terms of the Additional Series G Warrants, as modified by the Third Amendment to Credit Agreement, dated December 16, 2020 by and between Pre-Merger ReShape and the Master Fund (incorporated by reference to Exhibit 10.1 to the Form 8-K filed by Pre-Merger ReShape with the SEC on December 22, 2020) and the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
| WarrantSEC Table II · derivative / convertible security | IndirectSee Footnote 1 | 0 |
Reported balance
After 2021-06-28 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2021-06-28 · Other · Disposed 0 · Balance 0 F9: The terms of this Warrant are substantially similar to the terms of the Additional Series G Warrants, as modified by the Fourth Amendment to Credit Agreement, dated January 19, 2021 by and between Pre-Merger ReShape and the Master Fund (incorporated by reference to Exhibit 10.3 to the Form 8-K filed by Pre-Merger ReShape with the SEC on January 20, 2021) and the Merger Agreement. F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants") F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests 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.
F2: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")
F3: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.
F4: The terms of these Series A Warrants are substantially similar to the Series A Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to ReShape Weightloss Inc. (then-named Reshape Lifesciences Inc.) ("Pre-Merger ReShape"), as modified by the Agreement and Plan of Merger, dated as of January 19, 2021, by and among the Issuer, Optimus Merger Sub, Inc., and Pre-Merger ReShape (incorporated by reference to Exhibit 2.1 the Form 8-K filed by Pre-Merger ReShape with the SEC on June 15, 2021) (the "Merger Agreement").
F5: The terms of these Series E Warrants are substantially similar to the Series E Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement.
F6: The terms of these Series G Warrants are substantially similar to the New Series G Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement.
F7: The terms of these Series G Warrants ("Additional Series G Warrants") are substantially similar to the Existing Series G Warrants previously listed on the Reporting Persons' Form 4 dated September 16, 2020 with respect to Pre-Merger ReShape, as modified by the Merger Agreement.
F8: The terms of this Warrant are substantially similar to the terms of the Additional Series G Warrants, as modified by the Third Amendment to Credit Agreement, dated December 16, 2020 by and between Pre-Merger ReShape and the Master Fund (incorporated by reference to Exhibit 10.1 to the Form 8-K filed by Pre-Merger ReShape with the SEC on December 22, 2020) and the Merger Agreement.
F9: The terms of this Warrant are substantially similar to the terms of the Additional Series G Warrants, as modified by the Fourth Amendment to Credit Agreement, dated January 19, 2021 by and between Pre-Merger ReShape and the Master Fund (incorporated by reference to Exhibit 10.3 to the Form 8-K filed by Pre-Merger ReShape with the SEC on January 20, 2021) and the Merger Agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 04, 2020 Filed May 5, 2020 21:20 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003147 · ownership.xml · nonDerivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,642,531 F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 04, 2020 Filed May 5, 2020 21:20 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 957,469 | $2.65 | $2,537,292.85 |
DisclosureSEC source: 0000919574-20-003147 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,642,531 F3 · price: This constitutes the weighted average sale price. The prices ranged from $2.60 to $2.85. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:20 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003147 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,600,000 F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:20 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 1,000,000 | $2.71 | $2,710,000.00 |
DisclosureSEC source: 0000919574-20-003147 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,600,000 F2 · price: This constitutes the weighted average sale price. The prices ranged from $2.66 to $2.85. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 30, 2020 Filed May 1, 2020 00:28 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003105 · ownership.xml · nonDerivative · entry 6 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 18,600,000 Read SEC document |
| April 30, 2020 Filed May 1, 2020 00:28 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 4,434,296 | $2.96 | $13,125,516.16 |
DisclosureSEC source: 0000919574-20-003105 · ownership.xml · nonDerivative · entry 5 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,600,000 F4 · price: This constitutes the weighted average sale price. The prices ranged from $2.67 to $3.48. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 29, 2020 Filed May 1, 2020 00:28 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003105 · ownership.xml · nonDerivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 23,034,296 Read SEC document |
| April 29, 2020 Filed May 1, 2020 00:28 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 873,634 | $3.01 | $2,629,638.34 |
DisclosureSEC source: 0000919574-20-003105 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,034,296 F3 · price: This constitutes the weighted average sale price. The prices ranged from $2.96 to $3.40. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 28, 2020 Filed May 1, 2020 00:28 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003105 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 23,907,930 Read SEC document |
| April 28, 2020 Filed May 1, 2020 00:28 UTC | Vaxart, Inc. VXRT · Entity 6654 | SaleCommon Stock | 1,292,070 | $3.38 | $4,367,196.60 |
DisclosureSEC source: 0000919574-20-003105 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,907,930 F2 · price: This constitutes the weighted average sale price. The prices ranged from $3.20 to $3.90. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC, 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, LLC. Armistice Capital, LLC and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 27, 2020 Filed Apr 30, 2020 00:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrants · Derivative | 0 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0000919574-20-003060 · ownership.xml · derivative · entry 6 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2025-01-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. Read SEC document |
| April 27, 2020 Filed Apr 30, 2020 00:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrants · Derivative | 5,000,000 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0000919574-20-003060 · ownership.xml · derivative · entry 5 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000,000 shares Expires 2025-01-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. F1 · ownership.direct: The reported shares of the issuer's common stock (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), a Delaware limited liability company, 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 interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 27, 2020 Filed Apr 30, 2020 00:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | SaleCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003060 · ownership.xml · nonDerivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Read SEC document |
| April 27, 2020 Filed Apr 30, 2020 00:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | SaleCommon Stock | 5,108,921 | $1.82 | $9,298,236.22 |
DisclosureSEC source: 0000919574-20-003060 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: This constitutes the weighted average sale price. The prices ranged from $1.70 to $2.09. 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 sold at each separate price. F1 · ownership.direct: The reported shares of the issuer's common stock (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), a Delaware limited liability company, 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 interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 27, 2020 Filed Apr 30, 2020 00:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-003060 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 5,108,921 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 27, 2020 Filed Apr 30, 2020 00:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionCommon Stock | 5,000,000 | $1.25 | $6,250,000.00 |
DisclosureSEC source: 0000919574-20-003060 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,108,921 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.direct: The reported shares of the issuer's common stock (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), a Delaware limited liability company, 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 interests therein, and this report shall not be deemed an admission that either of them is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherSeries F Prefunded Warrants · Derivative | 0 | $0.00 Strike: $0.12 | $0.00 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · derivative · entry 8 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: COMMON STOCK · 0 shares Expires not disclosed F4 · derivative.exercise_date: The exercised Series F Prefunded Warrants had a perpetual term. F4 · derivative.expiration_date: The exercised Series F Prefunded Warrants had a perpetual term. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherSeries F Prefunded Warrants · Derivative | 2,569,167 | $0.12 Strike: $0.12 | $308,300.04 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · derivative · entry 7 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: COMMON STOCK · 2,569,167 shares Expires not disclosed F4 · derivative.exercise_date: The exercised Series F Prefunded Warrants had a perpetual term. F4 · derivative.expiration_date: The exercised Series F Prefunded Warrants had a perpetual term. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherSeries C Prefunded Warrants · Derivative | 0 | $0.00 Strike: $0.12 | $0.00 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · derivative · entry 6 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: COMMON STOCK · 0 shares Expires not disclosed F3 · derivative.exercise_date: The exercised Series C Prefunded Warrants had a perpetual term. F3 · derivative.expiration_date: The exercised Series C Prefunded Warrants had a perpetual term. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherSeries C Prefunded Warrants · Derivative | 2,516,667 | $0.12 Strike: $0.12 | $302,000.04 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · derivative · entry 5 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: COMMON STOCK · 2,516,667 shares Expires not disclosed F3 · derivative.exercise_date: The exercised Series C Prefunded Warrants had a perpetual term. F3 · derivative.expiration_date: The exercised Series C Prefunded Warrants had a perpetual term. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · nonDerivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 5,297,502 Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherCommon Stock | 2,569,167 | $0.12 | $308,300.04 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,297,502 F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 2,728,335 Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 20:29 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherCommon Stock | 2,516,667 | $0.12 | $302,000.04 |
DisclosureSEC source: 0000919574-20-002922 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,728,335 F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 20:23 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002815 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 108,921 F2 · kind: The reported Shares were acquired by the Master Fund from the issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the issuer and Innovus on February 14, 2020. The amount of Shares acquired by the Master Fund pursuant to the CVRs was determined by the issuer using a formula based on the issuer's achievement of certain revenue and profitability milestones. F1 · ownership.nature: The reported shares of the issuer's common stock (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), a Delaware limited liability company, 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. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 20:23 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | OtherCommon Stock | 108,920 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002815 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,921 F2 · kind: The reported Shares were acquired by the Master Fund from the issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the issuer and Innovus on February 14, 2020. The amount of Shares acquired by the Master Fund pursuant to the CVRs was determined by the issuer using a formula based on the issuer's achievement of certain revenue and profitability milestones. F2 · price: The reported Shares were acquired by the Master Fund from the issuer as a result of 300,000 non-transferable contingent value rights (collectively, the "CVRs") granted to the Master Fund as a former shareholder of Innovus Pharmaceuticals, Inc ("Innovus") upon consummation of the merger between the issuer and Innovus on February 14, 2020. The amount of Shares acquired by the Master Fund pursuant to the CVRs was determined by the issuer using a formula based on the issuer's achievement of certain revenue and profitability milestones. F1 · ownership.direct: The reported shares of the issuer's common stock (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), a Delaware limited liability company, 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. Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 20:59 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 4,280 | $2.16 | $9,244.80 |
DisclosureSEC source: 0000919574-20-002783 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 832,194 F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") 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 SMA. 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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 31, 2020 Filed Mar 31, 2020 21:58 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 26,611 | $2.33 | $62,003.63 |
DisclosureSEC source: 0000919574-20-002662 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 827,914 F6 · price: This constitutes the weighted average purchase price. The prices range from $2.25 to $2.35. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") 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 SMA. 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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 30, 2020 Filed Mar 31, 2020 21:58 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 49,303 | $2.35 | $115,862.05 |
DisclosureSEC source: 0000919574-20-002662 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 801,303 F5 · price: This constitutes the weighted average purchase price. The prices range from $2.27 to $2.45. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") 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 SMA. 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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:58 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 36,000 | $2.43 | $87,480.00 |
DisclosureSEC source: 0000919574-20-002662 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 752,000 F4 · price: This constitutes the weighted average purchase price. The prices range from $2.36 to $2.49. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") 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 SMA. 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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 25, 2020 Filed Mar 27, 2020 21:36 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherSeries G Warrants · Derivative | 0 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-002611 · ownership.xml · derivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,200,000 Underlying: COMMON STOCK · 0 shares Expires 2025-03-25 F2 · derivative.exercise_price: The Issuer issued to the Master Fund series G warrants of the Issuer (collectively, the "Series G Warrants") in connection with a credit agreement entered into between the Issuer and the Master Fund on March 25, 2020. The exercise price of each Series G Warrant is the lesser of: (i) $3.70; or (ii) the average of the two lowest volume weighted average prices for the Shares during the 10 trading days immediately prior to the exercise date, subject to adjustment pursuant to the terms of the Series G Common Stock Purchase Warrant. F2 · kind: The Issuer issued to the Master Fund series G warrants of the Issuer (collectively, the "Series G Warrants") in connection with a credit agreement entered into between the Issuer and the Master Fund on March 25, 2020. The exercise price of each Series G Warrant is the lesser of: (i) $3.70; or (ii) the average of the two lowest volume weighted average prices for the Shares during the 10 trading days immediately prior to the exercise date, subject to adjustment pursuant to the terms of the Series G Common Stock Purchase Warrant. F2 · price: The Issuer issued to the Master Fund series G warrants of the Issuer (collectively, the "Series G Warrants") in connection with a credit agreement entered into between the Issuer and the Master Fund on March 25, 2020. The exercise price of each Series G Warrant is the lesser of: (i) $3.70; or (ii) the average of the two lowest volume weighted average prices for the Shares during the 10 trading days immediately prior to the exercise date, subject to adjustment pursuant to the terms of the Series G Common Stock Purchase Warrant. F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Read SEC document |
| March 25, 2020 Filed Mar 27, 2020 21:36 UTC | ReShape Weightloss Inc. RSLS · Entity 137993 | OtherSeries G Warrants · Derivative | 1,200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-002611 · ownership.xml · derivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: COMMON STOCK · 1,200,000 shares Expires 2025-03-25 F2 · derivative.exercise_price: The Issuer issued to the Master Fund series G warrants of the Issuer (collectively, the "Series G Warrants") in connection with a credit agreement entered into between the Issuer and the Master Fund on March 25, 2020. The exercise price of each Series G Warrant is the lesser of: (i) $3.70; or (ii) the average of the two lowest volume weighted average prices for the Shares during the 10 trading days immediately prior to the exercise date, subject to adjustment pursuant to the terms of the Series G Common Stock Purchase Warrant. F2 · kind: The Issuer issued to the Master Fund series G warrants of the Issuer (collectively, the "Series G Warrants") in connection with a credit agreement entered into between the Issuer and the Master Fund on March 25, 2020. The exercise price of each Series G Warrant is the lesser of: (i) $3.70; or (ii) the average of the two lowest volume weighted average prices for the Shares during the 10 trading days immediately prior to the exercise date, subject to adjustment pursuant to the terms of the Series G Common Stock Purchase Warrant. F2 · price: The Issuer issued to the Master Fund series G warrants of the Issuer (collectively, the "Series G Warrants") in connection with a credit agreement entered into between the Issuer and the Master Fund on March 25, 2020. The exercise price of each Series G Warrant is the lesser of: (i) $3.70; or (ii) the average of the two lowest volume weighted average prices for the Shares during the 10 trading days immediately prior to the exercise date, subject to adjustment pursuant to the terms of the Series G Common Stock Purchase Warrant. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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. Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 20:47 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 1,374 | $2.52 | $3,462.48 |
DisclosureSEC source: 0000919574-20-002556 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 716,000 F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") 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 SMA. 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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 20, 2020 Filed Mar 24, 2020 20:47 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 9,626 | $2.50 | $24,065.00 |
DisclosureSEC source: 0000919574-20-002556 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 714,626 F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") 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 SMA. 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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 19, 2020 Filed Mar 19, 2020 22:39 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 1,567 | $2.60 | $4,074.20 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 5 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 705,000 F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. 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 Exchange or for any other purpose. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 22:39 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 8,433 | $1.91 | $16,107.03 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 703,433 F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. 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 Exchange or for any other purpose. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 22:39 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 20,000 | $1.91 | $38,200.00 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 695,000 F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. 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 Exchange or for any other purpose. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 22:39 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 28,160,605 F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 22:39 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 1,951,219 | $2.05 | $3,999,998.95 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,160,605 F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 23:19 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002471 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,621,828 F5 · kind: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F5 · price: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F3 · ownership.nature: Steven Boyd ("Mr. Boyd") may be deemed to indirectly beneficially own 26,209,386 Shares in his capacity as the Managing Member of Armistice Capital, the investment manager of the Master Fund. Mr. Boyd may also be deemed to directly own 412,442 Shares as a result of an in-kind distribution of Shares made by the Master Fund as described in footnote 5 below. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 23:19 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002471 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,209,386 F5 · kind: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F5 · price: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F2 · ownership.nature: The reported Shares may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), a Delaware limited liability company, as the investment manager of the Master Fund. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 23:19 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | OtherCommon Stock | 3,455,129 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002471 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,209,386 F5 · kind: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F5 · price: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F1 · ownership.direct: The reported shares of the issuer's common stock (the "Shares") are directly owned by Armistice Capital Master Fund Ltd. (the "Master Fund"), a Cayman Islands corporation. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 16:52 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | PurchaseCommon Stock | 24,000 | $4.87 | $116,880.00 |
DisclosureSEC source: 0000919574-20-002488 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 348,000 F1 · ownership.nature: The 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 separately managed account. 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 (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 23:49 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant · Derivative | 0 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0000919574-20-002393 · ownership.xml · derivative · entry 22 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2023-10-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · kind: Represents exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than 9.99%. F8 · derivative.exercise_date: Represents exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than 9.99%. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 23:49 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant · Derivative | 3,907,165 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0000919574-20-002393 · ownership.xml · derivative · entry 21 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,907,165 shares Expires 2023-10-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · kind: Represents exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than 9.99%. F8 · derivative.exercise_date: Represents exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than 9.99%. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd. (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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 interests 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. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 23:49 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant · Derivative | 0 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002393 · ownership.xml · derivative · entry 20 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2024-04-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · kind: Represents cashless net exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. F6 · derivative.exercise_date: Represents cashless net exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 23:49 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant · Derivative | 4,403,409 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002393 · ownership.xml · derivative · entry 19 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,403,409 shares Expires 2024-04-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · kind: Represents cashless net exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. F6 · derivative.exercise_date: Represents cashless net exercise of warrants exempt from Section 16(b) pursuant to Rule 16b-3. These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd. (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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 interests 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. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 23:49 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionSeries F Convertible Preferred Stock · Derivative | 0 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002393 · ownership.xml · derivative · entry 18 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · derivative.exercise_price: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · derivative.exercise_price: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. F7 · kind: Represents exercise of derivatives exempt from Section 16(b) pursuant to Rule 16b-3. F3 · derivative.exercise_date: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · derivative.exercise_date: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · derivative.exercise_date: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. F3 · derivative.expiration_date: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · derivative.expiration_date: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · derivative.expiration_date: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 23:49 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionSeries F Convertible Preferred Stock · Derivative | 5,000 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0000919574-20-002393 · ownership.xml · derivative · entry 17 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · derivative.exercise_price: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · derivative.exercise_price: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. F7 · kind: Represents exercise of derivatives exempt from Section 16(b) pursuant to Rule 16b-3. F3 · price: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · price: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · price: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. F3 · derivative.exercise_date: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · derivative.exercise_date: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · derivative.exercise_date: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. F3 · derivative.expiration_date: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · derivative.expiration_date: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · derivative.expiration_date: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. F3 · derivative.underlying_shares: On October 11, 2019, the Issuer and the Master Fund entered into a securities purchase agreement (the "Securities Purchase Agreement") pursuant to which the Master Fund acquired from the Issuer in a private placement: (i) 5,000 shares of the Issuer's series F convertible preferred stock (the "Series F Preferred Stock"); and (ii) 5,000,000 Common Stock Purchase Warrants (the "Warrants"). The aggregate subscription amount paid by the Master Fund for the Series F Convertible Preferred Stock and Warrants acquired by it pursuant to the Securities Purchase Agreement was $5,000,000. Each share of the Series F Preferred Stock has a stated value of $1,000. F4 · derivative.underlying_shares: (Continued from Footnote 3) The Series F Preferred Stock is convertible into Shares (any such Shares received by the Master Fund upon conversion, "Conversion Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series F Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions. In addition, the Series F Preferred Stock is subject to anti-dilution provisions until such time that is the earlier of: (i) the two-year anniversary date of the original issuance date; F5 · derivative.underlying_shares: (Continued from Footnote 4) and (ii) when 85% of the Series F Preferred Stock has been converted. The Warrants have an exercise price of $1.25 per Share (any such Shares received by the Master Fund upon exercise, "Warrant Shares") and contain cashless exercise provisions; provided, however, that the Master Fund is subject to a subject to a blocker provision that prevents it from exercising the Warrants if it would be more than a 40% beneficial owner of the Shares following such exercise. The Warrants are currently exercisable and will expire five years from the time a registration statement covering the Conversion Shares and Warrant Shares is declared effective by the Securities and Exchange Commission. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd. (the "Master Fund"). The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("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 interests 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. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 23:49 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionSeries H Convertible Preferred Stock · Derivative | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002393 · ownership.xml · derivative · entry 16 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director Boyd Steven · CIK 0001706140 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series H Preferred Stock has no expiration date and is convertible into 1,918,587 shares of the issuer's common stock (collectively, the "Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series H Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions, as well as to anti-dilution provisions set forth in the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series H Preferred Stock. F2 · kind: The Series H Preferred Stock has no expiration date and is convertible into 1,918,587 shares of the issuer's common stock (collectively, the "Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series H Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions, as well as to anti-dilution provisions set forth in the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series H Preferred Stock. F2 · derivative.exercise_date: The Series H Preferred Stock has no expiration date and is convertible into 1,918,587 shares of the issuer's common stock (collectively, the "Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series H Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions, as well as to anti-dilution provisions set forth in the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series H Preferred Stock. F2 · derivative.expiration_date: The Series H Preferred Stock has no expiration date and is convertible into 1,918,587 shares of the issuer's common stock (collectively, the "Shares") at any time at the option of the Master Fund at a conversion price of $1.00 (the "Conversion Price"); provided, however, that the Master Fund is subject to a blocker provision that prevents it from converting its Series H Preferred Stock if it would be more than a 40% beneficial owner of the Shares following such conversion. The Conversion Price is subject to adjustment in the case of stock splits, stock dividends, combinations of Shares and similar recapitalization transactions, as well as to anti-dilution provisions set forth in the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Series H Preferred Stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.