13G Filing: Park West Asset Management and PLx Pharma Inc. (PLXP)

Page 7 of 12

Page 7 of 12 – SEC Filing

Item
3.  If This Statement Is Filed Pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check
whether the Person Filing is a:
Not Applicable.
Item 4.  Ownership:
(a)     Amount Beneficially Owned: 1,075,723*
(b)    Percent of Class: 12.4%*
(c)     Number of Shares as to which such person has:
(i)     Sole power to vote or to direct the vote: 1,075,723*
(ii)     Shared power to vote or to direct the vote:
(iii)     Sole power to dispose or to direct the disposition of: 1,075,723*
(iv)     Shared power to dispose or to direct the disposition of:
As reported in the cover pages to this
report, the ownership information with respect to PWIMF is as follows:
(a)     Amount Beneficially Owned: 953,465*
(b)    Percent of Class: 11.0%*
(c)     Number of Shares as to which such person has:
(i)     Sole power to vote or to direct the vote: 953,465*
(ii)     Shared power to vote or to direct the vote:
(iii)     Sole power to dispose or to direct the disposition of: 953,465*
(iv)     Shared power to dispose or to direct the disposition of:

  

* This Schedule
13G is being jointly filed by (i) PWAM, a Delaware limited liability company and the investment manager to (a) PWIMF, a Cayman
Islands exempted company that is the holder of 953,465 shares of Common
Stock and, subject to the limitation described below, warrants to purchase up to 902,528 shares of Common Stock, as reported on
this Schedule 13G, and (b) PWPI, a Cayman Islands exempted company that is the holder of 122,258 shares of Common Stock and, subject
to the limitation described below, warrants to purchase up to 115,653 shares of Common Stock, as reported on this Schedule 13G;
(ii) PWIMF; and and (iii) Mr. Park, as the sole member and manager of
PWAM.

 

 

Follow Plx Pharma Inc. (NASDAQ:PLXP)

Page 7 of 12